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.
npx skills add JoelLewis/finance_skills --skill examination-readinessgit clone --depth 1 https://github.com/JoelLewis/finance_skillsWrote 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.
[](https://agentmods.dev/skills/joellewis/finance_skills/examination-readiness)<a href="https://agentmods.dev/skills/joellewis/finance_skills/examination-readiness"><img src="https://agentmods.dev/badge/skills/joellewis/finance_skills/examination-readiness/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.
<a href="https://agentmods.dev/skills/joellewis/finance_skills/examination-readiness"><img src="https://agentmods.dev/badge/skills/joellewis/finance_skills/examination-readiness.svg" alt="Reviewed on agentmods" width="80" height="20"></a>- Socket pass
- Snyk pass
- NVIDIA SkillSpector pass
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.
| Model | Per session | Once invoked |
|---|---|---|
| Fable 5.1 | $0.00134 | $0.06987 |
| Opus 5 | $0.00067 | $0.03494 |
| Sonnet 5 | $0.00027 | $0.01397 |
| Haiku 4.5 | $0.00013 | $0.00699 |
Grade A, and why
examination-readiness 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 11d 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.
How it starts
The opening of the file, as written. The whole thing — 267 lines — stays where its author put it; the contents beside it link to each section on GitHub.
Examination Readiness — SEC & FINRA Regulatory Examinations
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 Examination Process (Division of Examinations)
The SEC's Division of Examinations (formerly the Office of Compliance Inspections and Examinations, or OCIE) conducts examinations of registered entities including investment advisers, broker-dealers, transfer agents, clearing agencies, and self-regulatory organizations. The Division uses a risk-based approach to select firms for examination and to determine the scope and intensity of each exam.
Risk-based selection. The Division selects firms for examination based on a range of risk indicators rather than examining every registrant on a fixed schedule. Selection criteria include:
- New registrant status — Newly registered investment advisers and broker-dealers are frequently examined within the first one to three years of registration. These initial examinations assess whether the firm has implemented the compliance infrastructure described in its registration filings.
- Risk indicators and quantitative screens — The Division uses data analytics to identify firms with characteristics associated with higher risk: rapid asset growth, concentrated portfolios, high employee turnover, customer complaint patterns, significant regulatory history, unusual fee structures, or material conflicts of interest.
- Tips, complaints, and referrals — Complaints from investors, tips from whistleblowers (including those submitted under the SEC Whistleblower Program established by Section 21F of the Securities Exchange Act of 1934), and referrals from other SEC divisions or regulatory bodies can trigger cause examinations.
- Sweep examinations — The Division periodically conducts industry-wide sweep examinations focused on a single issue or practice across many firms simultaneously. Recent sweep topics have included off-channel communications, Reg BI implementation, private fund fee practices, and ESG-related disclosures.
What ships with it
2 files beside SKILL.md in the same directory: the scripts, references and assets a skill reads on demand. Not counted in the per-session cost; read them before you install if any of them is executable.
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.
- 11d ago First seen · 267 lines · 134 tokens per session scan A b62e33a90b21
examination-readiness is a skill published in the GitHub repository JoelLewis/finance_skills (184 stars, last pushed 1mo ago), licensed MIT. It adds 134 tokens to every session and 6,987 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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