# Generative AI supervision map

Three fictional member-firm uses illustrate distinct pre-use evaluation and supervisory evidence. Roles are examples, not actual appointments.

Synthetic firm, uses and procedures. No FINRA approval, executed test, communication release or supervisor sign-off is represented.

Source: https://aona.ai/resources/guides/finra-generative-ai-supervision/
Sources checked: 2026-09-21

## The review follows the use

### Define

Task, user, data and destination

### Evaluate

Relevant correct and failure cases

### Supervise

Named procedure and responsible role

### Retain

Required record and review evidence

| Use | Pre-use check | Supervision and escalation |
| --- | --- | --- |
| Internal policy lookup | Compare an answer with the current procedure and its source. | Policy owner resolves contradictions; staff do not rely on unsupported answers. |
| Draft customer email | Identify factual claims, audience and the applicable communications process. | Assigned reviewer applies the required procedure before any real use or sending. |
| AI surveillance summary | Assess source completeness, missed issues, accuracy and limitations. | Supervisory owner retains substantive review and escalates material findings. |
| Sensitive input in any use | Check permitted data and the exact supported input path. | Security investigates exposure; a passed input check is not approval of the output. |
| Feature or model change | Identify what changed and which evaluations may be affected. | Use owner reassesses risk and updates procedures where necessary. |
| Records handoff | Classify the final output and material review evidence. | Records owner assigns applicable retention and archive requirements. |

## Review checklist

- [ ] Name the use and output destination
  Separate internal assistance, customer communications and use within supervision.
- [ ] Define a meaningful test
  Choose a source-backed question and an intentional failure case relevant to that use.
- [ ] Assign review and escalation
  Record the responsible roles and actual evidence; do not treat an AI feature as the supervisor.

## Included example files

- finra-ai-supervision-map.md
- finra-ai-supervision-map.csv

## Source references

- FINRA Regulatory Notice 24-09: https://www.finra.org/rules-guidance/notices/24-09 (2026-09-21)
- FINRA Rule 3110: Supervision: https://www.finra.org/rules-guidance/rulebooks/finra-rules/3110 (2026-09-21)

Use the worksheet within the relevant legal, contractual and technical scope. It is not a certification or a record of an installed-product test.