Starter resources for AI in financial advisors: official sources
Learn the rules from the people who set them. Every link below goes to an official body, regulator or professional association, and was checked on Oct 30, 2026.
Starter resources
- FINRA: Artificial Intelligence
AI in the securities industry - FINRA Rule 2210
communications with the public - SEC: Investor.gov
investor education - CFP Board Code of Ethics
standards of conduct
Also useful across professions
- NIST AI Risk Management Framework: a free, widely used framework for managing AI risk
- Bot Tutorials guides: catching made-up answers, writing better prompts
Accuracy and ethics, every time
- Confidentiality: never paste client, patient, student, employee or customer personal data (PII/PHI) into a public bot. Use tools your organization has approved, with contract terms that cover data use, or remove identifiers first.
- Verify everything: bots can invent citations, case law, statistics, doses, code sections and quotes that look real. Check each one against the original source before you rely on it.
- Not professional advice: these tutorials teach you how to use AI tools. They are not legal, medical, tax, financial or engineering advice.
- A human professional is responsible: the licensed or accountable person reviews, decides and signs. The bot drafts; you own the result.
- Prices change: we don't list product prices. Check each vendor's official pricing page.
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