Skip to content
cccskills
FreePublished on GitHub

regulatory-analysis

Analyzes documents and processes against FINRA, SEC, Federal Reserve, and CFPB regulatory frameworks. Identifies compliance gaps, classifies findings by severity, and recommends remediation. Use when performing compliance audits, regulatory reviews, gap analyses, or verifying policy adherence to financial regulations.

The English summary is being prepared. Showing the original description.

See how to install

Files included (1)

  • SKILL.md2.7 KB

SKILL.md (original)

Review the instructions the agent will receive before you install.

Regulatory Analysis

Instructions

When analyzing a document or process for regulatory compliance:

  1. Identify scope — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB)
  2. Map to rules — Identify specific rules, notices, and guidance documents relevant to the subject
  3. Assess compliance — Evaluate the subject against each applicable requirement
  4. Classify findings — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL)
  5. Recommend remediation — Provide specific, actionable steps to address each finding
  6. Assess confidence — Rate your confidence in each finding (HIGH, MEDIUM, LOW)
  7. Validate citations — Verify all cited rules exist and are current before finalizing

Regulatory Priority Order

When multiple frameworks apply, prioritize in this order:

  1. SEC rules and regulations (federal statute)
  2. FINRA rules (SRO requirements)
  3. Federal Reserve supervisory guidance
  4. CFPB guidance and circulars

Output Format

## Regulatory Analysis Report

### Subject: [Description]
### Date: [ISO 8601]
### Analyst: compliance-analyst v1.0.0
### Confidence: [Overall confidence level]

### Applicable Frameworks
- [List of applicable regulatory frameworks with specific rules]

### Findings

#### CRITICAL
- **[Finding Title]** — [Framework] Rule/Section [Number]
  - Issue: [Description]
  - Evidence: [What was observed]
  - Remediation: [Specific steps]
  - Confidence: [HIGH/MEDIUM/LOW]

#### HIGH
[Same format]

#### MEDIUM
[Same format]

#### LOW
[Same format]

### Summary
[1-2 paragraph summary of overall compliance posture]

### Disclaimer
This analysis is for informational purposes only and does not constitute legal advice.

Example Finding

#### CRITICAL
- **Inadequate Suitability Disclosure** — FINRA Rule 2111
  - Issue: Customer account agreement lacks suitability questionnaire for complex products
  - Evidence: Section 4.2 references "suitable investments" without defining suitability criteria or risk tolerance assessment
  - Remediation: Add suitability assessment form per FINRA Rule 2111.05 (Supplementary Material) before account opening
  - Confidence: HIGH

Reviews

No reviews yet. Tell others what you thought.

Comments

No login needed. Share how it worked for you, ask a question, or note where it did not run.

No comments yet. Be the first to write one.

Comments are published right away. Do not include personal information such as email addresses or phone numbers. Up to 2 URLs.

0 / 1,000 characters

This form is protected by reCAPTCHA, and the Google Privacy Policy and Terms of Service apply.

More skills from this repository

Reviews code diffs and files for security vulnerabilities (OWASP Top 10), error handling, complexity, naming conventions, and performance issues. Use when the user asks to review a PR, pull request, diff, merge request, or code changes.

The English summary is being prepared. Showing the original description.

open-gitagent/opengap3KUpdated Jul 3, 2026

Model selection by provider health, not task complexity. Tier 0 (local) handles most tasks. Paid models are break-glass only. Fallbacks activate on 429 or timeout — never on perceived task difficulty.

The English summary is being prepared. Showing the original description.

open-gitagent/opengap3KUpdated Jul 3, 2026

Creates and configures agent.yaml files, writes SOUL.md personality definitions, and sets up agent directory structures with skills, tools, and knowledge. Use when the user wants to configure an agent, create agent.yaml, write SOUL.md, set up agent directory structure, or customize agent settings.

The English summary is being prepared. Showing the original description.

open-gitagent/opengap3KUpdated Jul 3, 2026

Reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation. Use when reviewing financial statements, audit documents, regulatory filings, or when the user mentions compliance checks, financial audits, or document verification.

The English summary is being prepared. Showing the original description.

open-gitagent/opengap3KUpdated Jul 3, 2026

Converts agent definitions between frameworks — exports to Claude Code, OpenAI, CrewAI, Lyzr, and GitHub Models formats, and imports from Claude, Cursor, and CrewAI projects. Use when the user wants to convert an agent, migrate to another framework, export to LangChain/AutoGen/CrewAI, or import from existing automation tools.

The English summary is being prepared. Showing the original description.

open-gitagent/opengap3KUpdated Jul 3, 2026

Guides installation of gitagent and creation of first agent with scaffolding, configuration, and validation. Use when the user is new to gitagent, asks how to get started, wants to install gitagent, set up their first agent, or says 'how do I start?'

The English summary is being prepared. Showing the original description.

open-gitagent/opengap3KUpdated Jul 3, 2026

See all skills by open-gitagent

Report a problem with this skill