SEO优化

Creating financial content that adheres to FINRA regulations can be challenging, but leveraging AI tools like ChatGPT can streamline the process while ensuring compliance. Below are three carefully crafted prompts to help financial professionals generate accurate, compliant, and engaging content.

1. "Generate a FINRA-compliant explanation of [investment product] for retail investors."

This prompt ensures the output avoids misleading claims and includes necessary disclaimers. For example, when explaining ETFs, ChatGPT will highlight risks, fees, and performance transparency while avoiding exaggerated promises. Always review the output for specific FINRA Rule 2210 compliance on communications with the public.

2. "Draft a social media post about [market trend] that complies with FINRA’s record-keeping rules."

FINRA requires firms to archive all social media communications. This prompt structures posts with balanced viewpoints, proper disclosures (e.g., "Not a recommendation"), and avoids hypothetical performance claims. The result aligns with FINRA Rule 4511 while keeping content engaging.

3. "Write a blog post comparing [Strategy A] and [Strategy B] with FINRA-approved risk disclosures."

Comparative content must be fair and substantiated. This prompt generates balanced analyses, includes standardized risk language (e.g., "Past performance is not indicative of future results"), and cites credible sources—key for FINRA Rule 2210(d)(3) adherence.

By refining these prompts, financial professionals can harness AI efficiently while maintaining regulatory compliance. Always validate outputs with compliance teams before distribution.