Generated by ReceiptDB Enterprise's receipt-ee report --framework finra from a sample deployment: a fictional broker-dealer's advisor-assist tool over Q1 2026: six answers, a fund factsheet superseded when its risk rating rose to high (a suitability answer to correct), a superseded fee schedule, third-party commentary restricted, and a marketing deck quarantined pending principal approval. The event log's hash chain is verified in section 5. Unedited, apart from the layout.
GenAI supervision and recordkeeping report (FINRA RN 24-09)
System: Advisor assist (sample) · Provider/deployer: Acme Securities (fictional)
Period: 2026-01-01T00:00:00+00:00 to 2026-04-01T00:00:00+00:00 · Generated: 2026-10-12T20:21:36.464531+00:00
This report is generated from ReceiptDB's records to support record-keeping obligations. It is not legal advice and not a conformity assessment.
This report names the people and keys that used the system (who asked each question, who placed or released a hold): the operator's own accountability record. Share it accordingly; a data subject's erasure certificate names no one else.
1. Outputs recorded
- 6 answers were recorded with full provenance (inputs, sources, model, asker, time).
- 4 of them are no longer valid, because a source was retracted, superseded or erased since.
- 1 relied on low-trust content, 0 on non-commercial or restricted content, and 0 involved personal data.
By model or agent version
| Transform | Answers |
|---|---|
| agent:advisor-assist@claude-opus-5 | 4 |
| agent:advisor-assist@claude-sonnet-5 | 2 |
By user
| User | Answers |
|---|---|
| j.patel@acme-securities.example | 2 |
| a.morgan@acme-securities.example | 2 |
| k.osei@acme-securities.example | 2 |
2. Input data
- 7 sources were ingested in the period.
| Most-used source | Answers citing it |
|---|---|
| sharepoint://products/global-income-fund | 3 |
| sharepoint://compliance/fee-schedule | 1 |
| web://blog/fund-commentary | 1 |
| sharepoint://compliance/ira-rollovers | 1 |
| sharepoint://marketing/q1-income-deck | 1 |
3. Answers requiring follow-up
Each answer below was given to a user and later lost its basis. Supervisors should review whether the user needs a correction.
| When | Asked by | Question | Status | Reason |
|---|---|---|---|---|
| 2026-02-23T09:40:00 | j.patel@acme-securities.example | Can I share the Q1 income deck with retirees? | quarantined | quarantine: pending principal approval (FINRA Rule 2210) |
| 2026-03-09T08:10:00 | j.patel@acme-securities.example | Is the Global Income Fund suitable for a conservative retiree? | superseded | the March factsheet: risk rating raised to high |
| 2026-03-09T08:10:00 | a.morgan@acme-securities.example | Will the Global Income Fund keep paying 6%? | superseded | the March factsheet: risk rating raised to high |
| 2026-03-16T08:45:00 | a.morgan@acme-securities.example | What's our advisory fee on a 2M USD account? | superseded | the April 2026 fee schedule |
4. Data lifecycle events
- Retractions: 0 · Supersessions: 2 · Access changes: 1 · Erasures: 0 · Quarantines: 1 (released: 0) · Model cutovers: 0
Retractions
None in this period.
Access changes
| Source | Reason | Records recomputed |
|---|---|---|
| web://blog/fund-commentary | third-party commentary, not for client use | 3 |
Erasures
None in this period.
5. Integrity and retention
- Event log hash chain verified (31 events).
- Retain GenAI communications and supervisory records per applicable books-and-records rules; export with
receipt-ee export-audit(signed) for archiving.
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