Plugin Claude Code
US securities regulatory guidance for broker-dealers and investment advisers. Covers FINRA, SEC, ERISA, FinCEN, and CFA Institute GIPS requirements. Guidance-only — no Python scripts.
Skill Claude CodeCodex
Ensure investment advertising and marketing materials comply with SEC Marketing Rule and FINRA Rule 2210. Use when the user asks about performance advertising, showing backtested or hypothetical returns, net vs gross performance presentation, client testimonials or endorsements in marketing, social media posts by…
Skill Claude CodeCodex
Determine when a product, platform, or communication crosses the regulatory line from education into investment advice requiring investment adviser registration. Use when the user asks about the definition of investment advice under Advisers Act Section 202(a)(11), whether a fintech feature or AI chatbot constitutes…
Skill Claude CodeCodex
Guide BSA/AML compliance program design, ongoing transaction monitoring, and FinCEN reporting for broker-dealers, banks, and investment advisers. Use when the user asks about suspicious activity reports, currency transaction reports, OFAC screening, structuring detection, ongoing risk-rating reviews and escalation, or…
Skill Claude CodeCodex
Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2. Use when the user asks about document retention schedules, how long to keep trade records or customer complaints, WORM storage requirements, email or text message archiving, social media capture, BYOD compliance…
Skill Claude CodeCodex
Guide which client disclosure documents must exist, what each must contain, and when and how they must be delivered to clients of investment advisers and broker-dealers. Use when the user asks about Form ADV Part 2A or 2B content, Form CRS content and delivery, prospectus delivery obligations, privacy notice delivery…
Skill Claude CodeCodex
Identify, disclose, and mitigate conflicts of interest in advisory and brokerage relationships under Reg BI and fiduciary duty. Use when the user asks about compensation-based conflicts, proprietary product incentives, revenue sharing disclosure, principal trading consent, soft dollar arrangements, pay-to-play…
Skill Claude CodeCodex
Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle. Use when the user asks about exam notification letters, document request lists, deficiency letter responses, mock examination programs, annual compliance reviews under Rule 206(4)-7, or SEC/FINRA examination priorities.…
Skill Claude CodeCodex
Evaluate whether the substance of fee and cost disclosures is complete, accurate, and not misleading across advisory, brokerage, fund, and retirement plan contexts. Use when the user asks whether Form ADV Item 5 fee content is adequate, prospectus fee table format, Reg BI cost disclosure content, 12b-1 fee…
Skill Claude CodeCodex
Apply the investment adviser fiduciary duty (IA Act Section 206), ERISA fiduciary standards, the DOL fiduciary rule and PTE 2020-02, and state fiduciary rules. Use when the user asks whether a fiduciary standard applies, what the duty of care and duty of loyalty require of an adviser, ERISA Section 404 prudent expert…
Skill Claude CodeCodex
Ensure firms claiming GIPS compliance under the CFA Institute Global Investment Performance Standards satisfy requirements for composite construction, performance calculation, presentation, and verification. Use when the user asks about building composites, time-weighted return calculation under GIPS, GIPS Reports and…
Skill Claude CodeCodex
Assess investment suitability obligations under FINRA Rules 2111 and 2090 across all three suitability prongs. Use when the user asks about reasonable-basis, customer-specific, or quantitative suitability, product-specific concerns for complex products, leveraged ETFs, variable annuities, or alternatives…
Skill Claude CodeCodex
Guide customer onboarding identification, due diligence, and profile maintenance under FINRA Rule 2090, the CIP rules, and the FinCEN CDD Rule. Use when the user asks about onboarding identity verification, beneficial ownership collection for entity accounts, enhanced due diligence for PEPs or high-risk customers at…
Skill Claude CodeCodex
Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations. Use when the user asks about privacy notices, the Safeguards Rule, identity theft prevention programs, breach notification obligations, vendor security due diligence, incident…
Skill Claude CodeCodex
Analyze private placement and exempt offering compliance under Regulation D, the Investment Company Act fund exclusions, and FINRA private placement rules. Owns the accredited investor definition (Rule 501(a)), the '506(b) vs 506(c)' distinction, 'general solicitation' analysis, 'Form D' filing mechanics, the…
Skill Claude CodeCodex
Analyze the broker-dealer standard of conduct under SEC Regulation Best Interest's four obligations: Disclosure, Care, Conflict of Interest, and Compliance. Owns what triggers a 'recommendation' under Reg BI and the canonical comparison of Reg BI vs FINRA suitability vs IA fiduciary duty. Use when the user asks…
Skill Claude CodeCodex
Guide regulatory filing mechanics and deadlines for investment advisers, broker-dealers, and large traders — which forms to file, where, and by when. Use when the user asks about Form PF filing thresholds, 13F institutional holdings reports, 13H large trader filings, Form ADV amendment filing timing (including the…
Skill Claude CodeCodex
Identify and prevent sales practice violations under FINRA and SEC rules governing broker-dealer conduct. Use when the user asks about churning or excessive trading metrics, mutual fund breakpoint discounts, selling away or private securities transactions, outside business activities, unauthorized trading, supervisory…
Plugin Claude Code
Mathematical and statistical foundations required by all other plugins. Always installed — every plugin implicitly depends on core.
Skill Claude CodeCodex
Compute and compare investment return metrics including TWR, MWR (dollar-weighted IRR on portfolio cash flows), CAGR, and annualized returns. Use when the user asks about portfolio performance calculation, comparing manager returns, linking sub-period returns, understanding why different return methods give different…
Skill Claude CodeCodex
Apply statistical methods to financial data including descriptive statistics, covariance estimation, regression, hypothesis testing, and resampling. Use when the user asks about return distributions, correlation between assets, building a covariance matrix, running a CAPM regression, testing whether alpha is…
Skill Claude CodeCodex
Calculate present value, future value, NPV, IRR for projects and loans, loan payments, and amortization schedules across all compounding conventions. Use when the user asks about discounting cash flows, valuing an annuity or perpetuity, comparing investments with different timing, building a mortgage amortization…
Plugin Claude Code
Data foundations that every financial system depends on. Covers reference data management, market data feeds, integration patterns for financial systems, and data quality governance.
Skill Claude CodeCodex
Design and operate data quality programs for financial data — validation rules, pricing validation, data lineage, exception management, profiling, and governance. Use when building validation rules for pricing or client data pipelines, detecting stale prices, designing a data quality monitoring framework, calibrating…