Regulatory Notice 24-09: FINRA’s Guidance on Generative AI and Large Language Models

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https://www.quadrantregulatory.com/regulatory-notice-24-09-finras-guidance-on-generative-ai-and-large-language-models
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FINRA’s notice reinforces that while AI technologies can enhance operational capabilities, they must be used in accordance with existing regulatory standards to ensure continued compliance and investor protection. They encourage firms to contact Quadrant if they encounter uncertainties about applying rules to AI technologies.

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