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Client Alert: Generative Artificial Intelligence in Financial Services: A Practical Compliance Playbook for 2026

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On December 9, 2025, the Financial Industry Regulatory Authority (FINRA) published its 2026 Annual Regulatory Oversight Report (2026 Report). While FINRA scarcely mentioned artificial intelligence (AI) in its 2025 Annual Report beyond the fact that it was an emerging technology, FINRA now dedicates an entire section of the new 2026 Report to the fact that Generative AI is no longer a novelty—it is a supervised technology that demands the same compliance rigor as any critical system….
By: Shumaker, Loop & Kendrick, LLP

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