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FINRA outlines recommendations for the use of AI tools

Image of two robots at a trade show.
Photo: Simona Granati – Corbis/Corbis via Getty Images

Julie DiMauro

3 min read
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FINRA’s Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.

FINRA’s executive vice president and chief regulatory operations officer, Greg Ruppert, has written a blog post entitled “Emerging Trends in GenAI: Observations on AI Agents,” outlining some of the critical pitfalls associated with use of the tech.

Ruppert explains how AI agents (Agentic AI) can plan, make decisions, and take

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