AI Visibility Insights and Benchmarks
SEC Rule 206(4)-1 (Marketing Rule) – Applies to any advertisement including AI-surfaced content. Prohibits misleading statements. AI recommendations may constitute "testimonials" or "endorsements."
FINRA Rule 2210 – Requires AI-generated content to be fair, balanced, not misleading. Supervision required per FINRA RN 24-09.
FINRA Rule 2111 – Suitability requirements. AI makes recommendations without suitability analysis.
| Risk | Implication |
|---|---|
| AI Invisibility | 28% of firms never appear in AI recommendations |
| Unverified Claims | AI makes claims firms cannot control or monitor |
| No Documentation | Firms have no record of AI representations |
| Marketing Rule Exposure | AI "endorsements" may trigger compliance issues |
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