advertising-compliance

advertising-compliance is a skill for Claude Code from JoelLewis/finance_skills. It costs 133 tokens per session (4,981 once invoked), scanned A, original, MIT.

A set of rules for checking investment advertising and marketing against U.S. SEC and FINRA requirements.

In plain words
What is it for?
Use it when reviewing advertisements, social posts, client endorsements, testimonials, backtested results, hypothetical returns, or net-versus-gross performance figures.
Why use it?
It helps identify claims and presentations that may mislead investors or break rules, such as unsupported performance figures or improperly handled testimonials.

Skill for Claude Code

Written for Claude Code: shipped in a Claude Code plugin. Also seen: positional $N argument.

Part of the compliance plugin — 17 skills shipped together

not rated 184repo +1 1mo ago A scan Socket: passSnyk: passSkillSpector: pass 133 tokens original MIT

Good fit Use it when reviewing advertisements, social posts, client endorsements, testimonials, backtested results, hypothetical returns, or net-versus-gross performance figures.

Compare 6 skills from other repositories ↓
Install with agentmods
npx agentmods add skills/joellewis/finance_skills/advertising-compliance
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.

Any agent
npx skills add JoelLewis/finance_skills --skill advertising-compliance
Clone the repo
git clone --depth 1 https://github.com/JoelLewis/finance_skills

Made for: Claude Code.

Or install compliance, the plugin that ships this one along with the rest of its 17 skills.

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 advertising-compliance

README.md
[![agentmods](https://agentmods.dev/badge/skills/joellewis/finance_skills/advertising-compliance/github.svg)](https://agentmods.dev/skills/joellewis/finance_skills/advertising-compliance)
Your own site
<a href="https://agentmods.dev/skills/joellewis/finance_skills/advertising-compliance"><img src="https://agentmods.dev/badge/skills/joellewis/finance_skills/advertising-compliance/github.svg" alt="Measured on agentmods" height="20"></a>

Or the 80×15 button, for a site that already has a row of RSS and ATOM ones. Only the verdict fits; the numbers stay here.

agentmods 80×15 button for advertising-compliance

Your own site · 80×15
<a href="https://agentmods.dev/skills/joellewis/finance_skills/advertising-compliance"><img src="https://agentmods.dev/badge/skills/joellewis/finance_skills/advertising-compliance.svg" alt="Reviewed on agentmods" width="80" height="20"></a>
Per session 133 Skills are progressive disclosure: only the name and description are preloaded; the body loads when the skill is used.
When invoked 4,981 The whole file, excluding the scripts and references it only reads on demand.
Security scan A 0 findings. A grade says what 26 rules found in the file — not that it is safe. Third-party audits
  • Socket pass 18 Mar 2026
  • Snyk pass 16 Mar 2026
  • NVIDIA SkillSpector pass 7 Sept 2026
How audits are shown
Origin original No closer match found in the catalogue.
Token cost

What it costs to keep this loaded

Counted locally with the o200k_base tokenizer, which is exact for GPT models; Claude uses its own tokenizer and its counts differ. Treat this as one consistent yardstick across the catalogue rather than a bill. Prices are per million input tokens.

ModelPer sessionOnce invoked
Fable 5.1 $0.00133 $0.04981
Opus 5 $0.00067 $0.02491
Sonnet 5 $0.00027 $0.00996
Haiku 4.5 $0.00013 $0.00498

Measured 12d ago against content hash 76fac6c05da4, method: parsed. Prices are Anthropic first-party input rates as of 2026-09-12, from the pricing page.

Security

Grade A, and why

advertising-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 12d 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/skills/advertising-compliance/SKILL.md · 215 lines

How it starts

The opening of the file, as written. The whole thing — 215 lines — stays where its author put it; the contents beside it link to each section on GitHub.

Advertising Compliance — Investment Marketing & Communications

Regulatory status current as of June 2026 — verify effective dates, dollar thresholds, and pending rulemakings against current SEC/FINRA/FinCEN sources before advising.

Core Concepts

SEC Marketing Rule (Rule 206(4)-1)

Effective November 4, 2022, the SEC's Marketing Rule replaced both the prior Advertising Rule (old Rule 206(4)-1) and the Cash Solicitation Rule (old Rule 206(4)-3) for investment advisers registered under the Investment Advisers Act of 1940. The rule applies to any "advertisement" — defined broadly as (1) any direct or indirect communication by an adviser that offers or promotes investment advisory services, or (2) any endorsement or testimonial for which the adviser provides compensation.

Seven general prohibitions. An advertisement may not:

  1. Include untrue statements of material fact or omit material facts necessary to make the statement not misleading in light of the circumstances.
  2. Include material statements of fact that the adviser does not have a reasonable basis for believing it can substantiate upon demand by the SEC.
  3. Include information that would reasonably be likely to cause an untrue or misleading inference to be drawn about a material fact relating to the adviser.
  4. Discuss potential benefits without providing fair and balanced treatment of associated material risks or limitations. A one-sided presentation of returns without discussing the corresponding risks violates this prohibition.
  5. Reference specific investment advice in a misleading manner. This prohibition targets cherry-picking — presenting only favorable past recommendations while omitting unfavorable ones.
  6. Include or exclude performance results, or present performance time periods, in a manner that is not fair and balanced. This encompasses selective time-period presentation, choosing only the best-performing periods and ignoring others.
  7. Be otherwise materially misleading.

Read the full file on GitHub · 215 lines

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. 12d ago First seen · 215 lines · 133 tokens per session scan A 76fac6c05da4

Subscribe to this mod's changes

advertising-compliance is a skill published in the GitHub repository JoelLewis/finance_skills (184 stars, last pushed 1mo ago), licensed MIT. It adds 133 tokens to every session and 4,981 once invoked, about $0.0007 per session on Opus 5. 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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