FINRA Proposes Changes To FINRA Rule 2210 - Communication Rule - Generative Artificial Intelligence (GenAI) Focus

On July 9, 2026, FINRA issued Regulatory Notice 26-14, requested comment on a proposal to modernize requirements certain to retail communications under FINRA Rule 2210 (Communications with the Public.  

FINRA notes that this proposal represents a modernization effort relating to the review and supervision of broker-dealer communications as part of FINRA’s broader “FINRA Forward” initiative.  The Proposal addresses three key areas:

1) Modernizing supervision and review of retail communications by replacing the current prescriptive pre-approval requirements with risk-based standards for supervision; 
2) Modifying and streamlining retail communication filing requirements; and 
3) Modifying and streamlining the broker-dealer standard for communications containing recommendations.

FINRA has said that its rules and guidance are intended to be technologically neutral and to function dynamically with evolutions in technology and members’ processes. FINRA has been engaging with members to learn about the ways they are using AI at their firms, including how firms are using generative artificial intelligence (Gen AI) to generate communications with the public.

Learn more here: https://www.finra.org/rules-guidance/notices/26-14