sales-practices
CommunityPrevent sales practice violations.
Legal & Compliance#compliance#sales practices#broker-dealer conduct#FINRA rules#SEC rules#investor protection
AuthorJoelLewis
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill helps identify and prevent sales practice violations under FINRA and SEC rules, ensuring ethical conduct and protecting investors from misconduct.
Core Features & Use Cases
- Violation Identification: Detects issues like churning, excessive trading, breakpoint abuse, selling away, and unauthorized trading.
- Regulatory Guidance: Provides detailed explanations of FINRA/SEC rules and their implications.
- Use Case: A compliance officer can use this Skill to analyze a broker's trading activity for potential churning by examining turnover ratios and cost-to-equity metrics against client objectives.
Quick Start
Analyze the provided trading data for potential churning and breakpoint abuse violations.
Dependency Matrix
Required Modules
None requiredComponents
Standard package💻 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: sales-practices Download link: https://github.com/JoelLewis/finance_skills/archive/main.zip#sales-practices Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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