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FINRA 24-09 Notice – Managing GenAI

July 09, 2024

On June 27th, FINRA released Notice 24-09 which outlines how firms must manage GenAI (Generative Artificial Intelligence) implementations.  Though GenAI provides powerful new tools, they also create several compliance challenges. First, there are several ways that SEC firms are implementing GenAI but in general it is being driven by the expansion of centrally driven experiments.  […]

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