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FINRA on incorporating AI into surveillance, risk reviews

Image of a yellow sign saying "AI."
Photo: Chesnot/Getty Images

Julie DiMauro

4 min read
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FINRA uses AI for market surveillance and conducting firm risk reviews, and it assumes you are using it for your oversight needs too.

Considerable internal use of AI by the Financial Industry Regulatory Authority (FINRA), for tasks such as market surveillance and carrying out firm risk reviews, has been highlighted by the regulator’s chief executive in a blog post this week.

FINRA president and CEO Robert Cook said the regulator is making efforts

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