United States Regulatory Compliance
SEC Reg BI, FINRA 3110, Dodd-Frank
SEC & FINRA
US financial AI systems must comply with SEC Regulation Best Interest (Reg BI), FINRA supervisory requirements (Rule 3110), and Dodd-Frank systematic risk monitoring. The SEC has increased scrutiny on algorithmic trading and robo-advisors.
Framework
SEC Reg BI, FINRA 3110, Dodd-Frank
Requirements
6 Key Areas
Kuneo Solutions
4 Compliance Tools
What SEC & FINRA expects from financial AI systems operating in United States.
Regulation Best Interest (Reg BI)
When AI makes recommendations, firms must act in the customer's best interest, not their own financial gain.
FINRA Rule 3110: Supervision
Firms must establish and maintain supervisory systems for algorithmic trading, including regular testing and review.
SEC Rule 17a-4: Recordkeeping
All communications, trades, and decisions must be preserved in immutable, non-rewritable format for 6+ years.
Dodd-Frank Reporting
Large traders and systematic risk contributors must report positions and trading activity to regulators.
Algorithmic Trading Controls
Pre-trade risk checks, order throttling, and kill switches required for high-frequency and algorithmic systems.
Model Risk Management
Regular validation, back-testing, and stress testing of AI models with independent review.
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