How do I install the Regulatory Analysis skill?

Run npx skillmds@latest add thomasmoreai/regulatory-analysis in your terminal (requires Node.js), paste this page's agent-chat prompt into Claude, Cursor, or any MCP-connected agent, or download the SKILL.md file and copy it into your agent's skills directory.

Is Regulatory Analysis safe to use?

SkillMD's automated safety review verdict for this skill is PASS. Independent scanners report: SkillSpector: PASS, Skill Scanner: PASS. SkillMD never runs a skill's scripts for you; review the SKILL.md before installing.

Which AI agents work with Regulatory Analysis?

This skill is tagged as working with Claude Code, Claude.ai, OpenAI Codex. SKILL.md is an open format, so most agents that read a skills directory can load it too.

Is Regulatory Analysis free to use?

Yes. Installing skills from SkillMD is free. This skill is licensed under MIT.

Who published Regulatory Analysis?

ThomasMoreAI (@thomasmoreai) published this skill. Their other Agent Skills are listed on their SkillMD profile.

Regulatory Analysis by thomasmoreai

Name: Regulatory Analysis
Author: ThomasMoreAI

Regulatory Analysis

Analyzes documents and processes against FINRA, SEC, Federal Reserve, and CFPB regulatory frameworks. Identifies compliance gaps, classifies findings by severity, and recommends remediation. Use when performing compliance audits, regulatory reviews, gap analyses, or verifying policy adherence to financial regulations.

ThomasMoreAI de7aec4 2.5 KB Updated Sep 17, 2026

File contents

Regulatory Analysis

Instructions

When analyzing a document or process for regulatory compliance:

Identify scope — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB)
Map to rules — Identify specific rules, notices, and guidance documents relevant to the subject
Assess compliance — Evaluate the subject against each applicable requirement
Classify findings — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL)
Recommend remediation — Provide specific, actionable steps to address each finding
Assess confidence — Rate your confidence in each finding (HIGH, MEDIUM, LOW)
Validate citations — Verify all cited rules exist and are current before finalizing

Regulatory Priority Order

When multiple frameworks apply, prioritize in this order:

SEC rules and regulations (federal statute)
FINRA rules (SRO requirements)
Federal Reserve supervisory guidance
CFPB guidance and circulars

Output Format

## Regulatory Analysis Report

### Subject: [Description]
### Date: [ISO 8601]
### Analyst: compliance-analyst v1.0.0
### Confidence: [Overall confidence level]

### Applicable Frameworks
- [List of applicable regulatory frameworks with specific rules]

### Findings

#### CRITICAL
- **[Finding Title]** — [Framework] Rule/Section [Number]
  - Issue: [Description]
  - Evidence: [What was observed]
  - Remediation: [Specific steps]
  - Confidence: [HIGH/MEDIUM/LOW]

#### HIGH
[Same format]

#### MEDIUM
[Same format]

#### LOW
[Same format]

### Summary
[1-2 paragraph summary of overall compliance posture]

### Disclaimer
This analysis is for informational purposes only and does not constitute legal advice.

Example Finding

#### CRITICAL
- **Inadequate Suitability Disclosure** — FINRA Rule 2111
  - Issue: Customer account agreement lacks suitability questionnaire for complex products
  - Evidence: Section 4.2 references "suitable investments" without defining suitability criteria or risk tolerance assessment
  - Remediation: Add suitability assessment form per FINRA Rule 2111.05 (Supplementary Material) before account opening
  - Confidence: HIGH

---name: regulatory-analysisdescription: Analyzes documents and processes against FINRA, SEC, Federal Reserve, and CFPB regulatory frameworks. Identifies compliance gaps, classifies findings by severity, and recommends remediation. Use when performing compliance audits, regulatory reviews, gap analyses, or verifying policy adherence to financial regulations.license: MIT---# Regulatory Analysis## InstructionsWhen analyzing a document or process for regulatory compliance:1. **Identify scope** — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB)2. **Map to rules** — Identify specific rules, notices, and guidance documents relevant to the subject3. **Assess compliance** — Evaluate the subject against each applicable requirement4. **Classify findings** — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL)5. **Recommend remediation** — Provide specific, actionable steps to address each finding6. **Assess confidence** — Rate your confidence in each finding (HIGH, MEDIUM, LOW)7. **Validate citations** — Verify all cited rules exist and are current before finalizing## Regulatory Priority OrderWhen multiple frameworks apply, prioritize in this order:1. SEC rules and regulations (federal statute)2. FINRA rules (SRO requirements)3. Federal Reserve supervisory guidance4. CFPB guidance and circulars## Output Format```## Regulatory Analysis Report### Subject: [Description]### Date: [ISO 8601]### Analyst: compliance-analyst v1.0.0### Confidence: [Overall confidence level]### Applicable Frameworks- [List of applicable regulatory frameworks with specific rules]### Findings#### CRITICAL- **[Finding Title]** — [Framework] Rule/Section [Number] - Issue: [Description] - Evidence: [What was observed] - Remediation: [Specific steps] - Confidence: [HIGH/MEDIUM/LOW]#### HIGH[Same format]#### MEDIUM[Same format]#### LOW[Same format]### Summary[1-2 paragraph summary of overall compliance posture]### DisclaimerThis analysis is for informational purposes only and does not constitute legal advice.```### Example Finding```#### CRITICAL- **Inadequate Suitability Disclosure** — FINRA Rule 2111 - Issue: Customer account agreement lacks suitability questionnaire for complex products - Evidence: Section 4.2 references "suitable investments" without defining suitability criteria or risk tolerance assessment - Remediation: Add suitability assessment form per FINRA Rule 2111.05 (Supplementary Material) before account opening - Confidence: HIGH```

Frequently asked questions

Regulatory Analysis

File contents

Regulatory Analysis

Instructions

Regulatory Priority Order

Output Format

Example Finding

Related skills

Frequently asked questions

How do I install the Regulatory Analysis skill?

What does the Regulatory Analysis skill do?

Is Regulatory Analysis safe to use?

Which AI agents work with Regulatory Analysis?

Is Regulatory Analysis free to use?

Who published Regulatory Analysis?