books-and-records
CommunityNavigate SEC & FINRA recordkeeping rules.
Legal & Compliance#compliance#archiving#SEC rules#recordkeeping#FINRA#document retention#broker-dealer
AuthorJoelLewis
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill helps you understand and implement the complex recordkeeping requirements mandated by SEC Rules 17a-3, 17a-4, and 204-2, ensuring compliance for broker-dealers and investment advisers.
Core Features & Use Cases
- Regulatory Guidance: Provides detailed explanations of SEC and FINRA recordkeeping rules.
- Retention Schedules: Offers clear guidance on how long specific documents must be retained.
- Electronic Storage: Explains WORM storage and audit trail requirements for digital records.
- Use Case: A compliance officer needs to design a new document retention policy. This Skill can guide them on what records to keep, for how long, and how to store them compliantly.
Quick Start
Explain the record retention period for customer complaints under FINRA Rule 4513.
Dependency Matrix
Required Modules
None requiredComponents
references
💻 Claude Code Installation
Recommended: Let Claude install automatically. Simply copy and paste the text below to Claude Code.
Please help me install this Skill: Name: books-and-records Download link: https://github.com/JoelLewis/finance_skills/archive/main.zip#books-and-records Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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