compliance

compliance is a plugin for Claude Code from JoelLewis/finance_skills. Its manifest loads nothing; the 17 skills it bundles cost 2,669 tokens per session together, scanned A, original, MIT.

A reference guide to United States securities regulations for broker-dealers and investment advisers. It covers rules and guidance from bodies such as the SEC, FINRA, FinCEN, and ERISA requirements.

In plain words
What is it for?
Use it for compliance-focused research and guidance on securities operations, anti-money-laundering controls, retirement-plan obligations, and investment-performance reporting.
Why use it?
It gives agents regulatory context when considering how financial software or processes should meet United States compliance expectations.

Plugin for Claude Code

Install

Getting it into your agent

One page per mod, every tool's command on it. A separate URL per tool would split the same page into five that compete with each other.

Claude Code
/plugin marketplace add JoelLewis/finance_skills
agentmods
npx agentmods add plugins/joellewis/finance_skills/compliance
Clone the repo
git clone --depth 1 https://github.com/JoelLewis/finance_skills

Made for: Claude Code.

Wrote this? Show the measurements

A badge with what this costs and how it scanned, read live from this page, so it follows the numbers instead of freezing them. Markdown for a README, HTML for a documentation site or a project page.

agentmods badge for compliance

README.md
[![agentmods](https://agentmods.dev/badge/plugins/joellewis/finance_skills/compliance.svg)](https://agentmods.dev/plugins/joellewis/finance_skills/compliance)
Your own site
<a href="https://agentmods.dev/plugins/joellewis/finance_skills/compliance"><img src="https://agentmods.dev/badge/plugins/joellewis/finance_skills/compliance.svg" alt="Measured on agentmods" height="20"></a>
Per session not measured What this adds to a session before it is invoked.
When invoked not measured The manifest loads nothing itself; its 17 skills cost 2,669 tokens a session between them.
Security scan A 0 findings. Scan, not verified.
Origin original No closer match found in the catalogue.
Security

Grade A, and why

compliance scanned grade A with 0 findings against 26 rules in 11 categories — prompt injection, anti-refusal, data exfiltration, privilege escalation, supply chain, agent snooping, system-prompt leakage, SSRF and excessive agency — measured 4d ago.

A static scan of the body, not an audit. Every finding is printed with the line that produced it so you can judge whether it matters here. A mod is markdown that instructs an agent; that is exactly why what it instructs is worth reading.

Nothing flagged

None of the 26 patterns this scan looks for appear in this file: no shell pipes, no recursive deletes, no credential paths, no hidden text, no instruction-override or anti-refusal phrasing, no agent-config snooping. That is not a guarantee, it is the absence of the things that are checkable.

plugins/compliance/.claude-plugin/plugin.json · 22 lines

What it actually says

{
  "name": "compliance",
  "description": "US securities regulatory guidance for broker-dealers and investment advisers. Covers FINRA, SEC, ERISA, FinCEN, and CFA Institute GIPS requirements. Guidance-only \u2014 no Python scripts.",
  "version": "1.0.0",
  "author": {
    "name": "Joel Lewis",
    "email": "[email protected]"
  },
  "keywords": [
    "compliance",
    "regulatory",
    "SEC",
    "FINRA",
    "ERISA",
    "AML"
  ],
  "dependencies": [
    "core"
  ],
  "scripts": false
}
Changes

What this file has done since we first saw it

Hashed on every crawl. A supply-chain change to an agent config is a question of when, not whether, so the history is kept rather than the latest state alone.

  1. 4d ago First seen · 22 lines scan A eb63b320eca2

Subscribe to this mod's changes

compliance is a plugin published in the GitHub repository JoelLewis/finance_skills (178 stars, last pushed 1mo ago), licensed MIT. Its token cost is not measured: this kind of file is read by the harness, not the model. A static security scan graded it A with 0 findings. No closer match exists in the catalogue, so it is treated as the original; first seen 2026-08-30.

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