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compliance-review

Screen financial marketing materials for SEC, FINRA, and FCA compliance issues.

1|Updated Mar 19, 2026
Search Tags:#compliance#archival#screening#disclosures#sec#finra#financial-content
One-click install
npx skills add https://github.com/weisberg/agile_agentic_analytics --skill compliance-review-weisberg
Or copy as Structured Prompt for Agent▼
Please help me install this Agent Skill.
Skill: compliance-review
Source: https://github.com/weisberg/agile_agentic_analytics/tree/main/plugins/marketing-analytics/skills/compliance-review
Command: npx skills add https://github.com/weisberg/agile_agentic_analytics --skill compliance-review-weisberg

SYSTEM DOCUMENTATION & REQUIREMENTS

💡 This Skill includes scripts (resource) and references (resource) components.

What problem does it solve?

Automates regulatory screening of financial content to catch SEC, FINRA, and FCA issues before publication, acting as an advisory gate in content workflows.

Core Features & Use Cases

  • Automated screening of marketing claims, performance disclosures, testimonials, and promotional content for regulatory compliance
  • Flagging of high-risk statements, required disclosures, and insertion/remediation guidance
  • Archival-ready tagging and logging for governance, auditing, and retention

Quick Start

Run the compliance-review skill on a workspace containing financial content to perform the first-pass regulatory screening.

Frequently Asked Questions about compliance-review

High-intent search queries and answers about installing and using this skill.

FAQPage Schema
How do I screen financial marketing materials for SEC and FINRA compliance?▼

Automated regulatory screening evaluates financial marketing materials against SEC Marketing Rule 206(4)-1 and FINRA Rule 2210 to flag high-risk statements and provide remediation guidance before publication.

What disclosures are required for performance presentations under SEC and FINRA rules?▼

Required disclosures for performance presentations under SEC and FINRA rules include standardized risk disclosures and contextual annotations, which the screening workflow identifies and flags for mandatory insertion.

Can I automate FCA financial promotions compliance checking for promotional content?▼

FCA financial promotions compliance checking can be automated by running a screening pass that assesses promotional content against regulatory requirements and flags non-compliant statements for remediation.

How do I tag financial content for archival and regulatory auditing?▼

Financial content is tagged with archival-ready metadata during the compliance review workflow, producing logs with risk classifications and content classifications for governance and retention auditing.

Does regulatory content screening handle testimonials under FINRA Rule 2210?▼

Regulatory content screening evaluates testimonials against FINRA Rule 2210 requirements, flagging non-compliant endorsements and generating recommended remediation actions to align the content with standards.

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