reg-bi
CommunityEnsure broker-dealer recommendations meet Reg BI.
Legal & Compliance#compliance#recommendation#disclosure#reg bi#broker-dealer#care obligation#conflict of interest
AuthorJoelLewis
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill helps analyze broker-dealer recommendations to ensure they comply with SEC Regulation Best Interest (Reg BI), covering its four core obligations.
Core Features & Use Cases
- Reg BI Compliance Analysis: Evaluate recommendations against Disclosure, Care, Conflict of Interest, and Compliance obligations.
- Trigger Identification: Determine if an interaction constitutes a "recommendation" under Reg BI.
- Use Case: A compliance officer needs to assess if a recent recommendation to a retail client to roll over their 401(k) to an IRA meets all Reg BI requirements, including the consideration of alternatives and fee disclosures.
Quick Start
Analyze whether a broker-dealer recommendation satisfies Reg BI obligations.
Dependency Matrix
Required Modules
None requiredComponents
references
💻 Claude Code Installation
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Please help me install this Skill: Name: reg-bi Download link: https://github.com/JoelLewis/finance_skills/archive/main.zip#reg-bi Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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