adviser-exam-readiness
CommunityPrepare for SEC or FINRA exams with comprehensive readiness packs.
Authoranotb
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill provides a comprehensive readiness pack for SEC or FINRA exams, ensuring compliance and preparedness for financial services firms.
Core Features & Use Cases
- Comprehensive Readiness Pack: Includes document-request response matrices, domain-by-domain readiness, mock-interview prep, and gap and remediation lists.
- Customizable for Different Registration Classes: Supports IA, BD, dual-registrant, fund adviser, and private-fund adviser registration classes.
- Use Case: A firm receives an SEC or FINRA exam notification. The Skill generates a readiness pack tailored to the firm's registration class and exam type, ensuring all compliance requirements are met.
Quick Start
Use the adviser-exam-readiness skill to generate a readiness pack for a routine SEC exam for a dual-registrant firm.
Dependency Matrix
Required Modules
None requiredComponents
scriptsreferencesassets
💻 Claude Code Installation
Recommended: Let Claude install automatically. Simply copy and paste the text below to Claude Code.
Please help me install this Skill: Name: adviser-exam-readiness Download link: https://github.com/anotb/second-line-financial-services/archive/main.zip#adviser-exam-readiness Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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