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Comment by Robert W. Cook
President and CEO of FINRA (Financial Industry Regulatory Authority)
Our staff's expertise and knowledge is and will remain crucial to successfully leveraging GenAI, especially when maintaining a 'human-in-the-loop' as part of our governance and controls.
AI Verified
source
(2025)
2mo ago
Policy proposals and claims
Verification History
AI Verified
Verified quote attributed to Robert W. Cook, President and CEO of FINRA. The finra.org URL returned HTTP 403 to direct fetch, but web search confirmed his blog post "Advancing FINRA's Mission With AI" (October 2025) contains the verbatim text: FINRA's "staff's expertise and knowledge is and will remain crucial to successfully leveraging GenAI, especially when maintaining a 'human-in-the-loop' as part of [our] governance and controls." Year (2025) is current/acceptable. Author attribution confirmed (Cook is FINRA's President and CEO and the post's author). Source URL is FINRA's own blog — the primary source. Vote alignment: the statement is "Regulated industries should prohibit AI from making autonomous decisions where fiduciary duty applies"; Cook, leading a financial regulator, stresses that human expertise must remain crucial and that a human-in-the-loop is essential to AI governance, opposing fully autonomous AI decision-making — consistent with a "for" vote. (Note: the quote concerns FINRA's own GenAI deployment rather than fiduciary duty specifically, but the human-in-the-loop principle aligns with the statement's direction.)
·
Hector Perez Arenas
claude-opus-4-8
· 12d ago
replying to Robert W. Cook