Catalog

FINRA GenAI/Agentic Guidance

Financial Industry Regulatory Authority (FINRA) · pack 0.1.3 · verified against the official source as of 2026-09-27.

Standard / soft law

Financial firms should apply FINRA GenAI guidance to agent supervision, tracking, and guardrails

FINRA's 2026 GenAI oversight guidance identifies agent autonomy, authority, and auditability risks and recommends supervisory processes tailored to the agent's type and scope: monitoring system access and data handling, human-in-the-loop practices, action tracking, and guardrails limiting behavior and authority. Detect a financial AI-agent path with no human oversight, no action audit trail, or no scope guardrails. FINRA Rule 3110 creates separate general supervision duties; this rule captures the agent-specific guidance rather than asserting a standalone legal requirement.

finra-genai.agentic-supervision · FINRA 2026 Annual Regulatory Oversight Report — Emerging Trends in GenAI: Agents · official source · jurisdictions: US

Standard / soft law

Financial firms should apply FINRA GenAI guidance to monitoring, logging, and human review

FINRA's 2026 GenAI guidance recommends that firms using GenAI consider ongoing monitoring of prompts, responses, and outputs, prompt and output logging for accountability, model-version tracking, validation, and human review for errors or bias. Detect a financial GenAI path with no prompt or output logging, model-version tracking, or human review. FINRA Rule 3110 creates separate general supervision duties; this rule captures the GenAI-specific guidance rather than asserting a standalone legal requirement.

finra-genai.genai-monitoring-logging · FINRA 2026 Report — GenAI Monitoring + Rule 3110 (Supervision) / RN 24-09 · official source · jurisdictions: US