FINRA

FINRA, the Financial Industry Regulatory Authority, is the self-regulatory body that oversees broker-dealers and registered representatives in the United States under federal securities law. For AI governance, it matters because FINRA has made clear that existing rules on supervision, communications with the public, recordkeeping, and books and records apply fully when firms use AI tools, including generative AI for customer communications, research, or trade surveillance. Compliance teams at member firms should expect examiners to ask how AI outputs are reviewed, documented, and retained.

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Corporate PolicyUS2026-11-05

FINRA: AI Deepfakes and Voice Cloning Are Breaking Investment Fraud Detection

FINRA has warned that fraudsters are using AI to clone voices, fabricate identity documents, and create convincing deepfake images of financial professionals. The techniques are sophisticated enough to defeat traditional human review. Financial firms face an urgent need to update identity verification and payment approval controls.

FINRA investment fraud deepfakes voice cloning identity verification financial services synthetic media