AI Governance for US Broker-Dealers & Advisers
Supervision, disclosure, risk management and consumer-protection expectations for generative AI and AI agents used by broker-dealers and investment advisers.
- Issued by
- FINRA / SEC / NIST
- Applies in
- United States
- Edition
- September 2026 (FINRA 2026 oversight report; Colorado SB26-189)
- Area
- Corporate governance & fiduciary
What an assessor reads first.
The headline requirements in Amoreg’s catalogue, in the issuer’s own numbering where it has one. They are where a review starts, not a transcription of the text.
- RN 24-09Apply existing supervision, communications, recordkeeping and privacy rules to Gen AI toolsSupervision
- 2026 ROR GenAIGovern AI agents with human-in-the-loop oversight, scoped authority and guardrailsSupervision
- IA-6573/6574Substantiate every AI capability claim in filings and marketing (no AI washing)Disclosure
- AI RMF GOVERNMaintain an AI governance policy, inventory and accountable ownersGovernance
- AI RMF MAP/MEASUREIdentify, test and measure AI risks before and after deploymentRisk management
- AI 600-1Manage Gen AI risks: confabulation, data privacy, information securityRisk management
- SB26-189Give ADMT notice, adverse-decision explanations, correction and human review (Colorado)Consumer protection
- AI third-partyDiligence and monitor third-party AI and model providersThird parties
How Amoreg keeps you on it.
Enable the AI Governance for US Broker-Dealers & Advisers and add FINRA / SEC / NIST’s pages as a monitor of your own. Every publication it records keeps its source, stage and date.
Inspector reads your policies against these 8 requirements every week and opens a finding wherever one falls short, citing the rule and drafting the fix. A person decides what is applied.
Each week
- Read FINRA / SEC / NIST’s pages
- Check the library against 8 requirements
- Open findings with drafted fixes
- Wait for a person to decide
Policy does not yet set out: apply existing supervision, communications, recordkeeping and privacy rules to Gen AI tools
- Rule
- AI Governance for US Broker-Dealers & Advisers, RN 24-09
- Area
- Supervision
- Proposed by
- Inspector
- Decided by
- A named person, once reviewed
The same ground, elsewhere.
- GFSC Finance Sector Code of Corporate GovernancePrinciples for the boards of all Guernsey licensees, with an annual confirmation of compliance.Guernsey · 5 controls
- GFSC Fiduciary Rules and GuidanceConduct, client asset, record keeping and resourcing rules for fiduciary licensees.Guernsey · 5 controls
- JFSC Code of Practice for Trust Company BusinessThe seven principles a registered trust company business must meet.Jersey · 7 controls
- Isle of Man Financial Services Rule Book 2016Conduct, client money, governance and reporting rules for licenceholders.Isle of Man · 5 controls
- CIMA Rule and Statement of Guidance on Corporate GovernanceCorporate governance requirements for all regulated entities, including funds and their operators.Cayman Islands · 4 controls
- Guernsey Beneficial Ownership RegimeResident agent duties to identify and register beneficial owners of Guernsey legal persons.Guernsey · 3 controls
Also in United States
- US Bank Secrecy Act / FinCEN AML ProgramBSA AML programme requirements: the pillars, CDD rule, SAR/CTR reporting and beneficial ownership.United States · 6 controls
- OFAC Sanctions Compliance ProgramThe five essential components of an effective sanctions compliance programme.United States · 5 controls
- US Foreign Corrupt Practices ActAnti-bribery and books-and-records provisions, assessed against the DOJ's Evaluation of Corporate Compliance Programs.United States · 4 controls
- GLBA Safeguards RuleThe information security programme financial institutions must maintain for customer information.United States · 5 controls
- NIST Cybersecurity Framework 2.0Six functions for managing cybersecurity risk, now including Govern.United States / Global · 6 controls
- NYDFS Cybersecurity Regulation (23 NYCRR 500)Cybersecurity requirements for DFS-licensed entities, with CISO, MFA, annual certification and 72-hour notice.United States — New York · 6 controls
Questions
Does Amoreg watch for changes to the AI Governance for US Broker-Dealers & Advisers?
Enable it and add the issuer’s pages as a monitor of your own. Every publication the Monitor records keeps its source, stage and date.
Can Amoreg check our policies against the AI Governance for US Broker-Dealers & Advisers?
Yes. Inspector reads your library against its requirements every week and opens a finding, with the rule it cites and a proposed fix, wherever a policy falls short. A person decides what is applied.
Which edition does Amoreg use?
The catalogue records September 2026 (FINRA 2026 oversight report; Colorado SB26-189). Editions were last verified in August 2026, and the Monitor records new publications as they appear.