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JoelLewis
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reg-bi

Analyze broker-dealer recommendations against SEC Regulation Best Interest obligations.

164|33|Updated Feb 15, 2026
Search Tags:#compliance#recommendation#disclosure#reg bi#broker-dealer#care obligation#conflict of interest
One-click install
npx skills add https://github.com/JoelLewis/finance_skills --skill reg-bi
Or copy as Structured Prompt for Agent▼
Please help me install this Agent Skill.
Skill: reg-bi
Source: https://github.com/JoelLewis/finance_skills/tree/main/plugins/compliance/skills/reg-bi
Command: npx skills add https://github.com/JoelLewis/finance_skills --skill reg-bi

SYSTEM DOCUMENTATION & REQUIREMENTS

💡 This Skill includes references (resource) components.

What problem does it solve?

This Skill helps analyze broker-dealer recommendations to ensure they comply with SEC Regulation Best Interest (Reg BI), covering its four core obligations.

Core Features & Use Cases

  • Reg BI Compliance Analysis: Evaluate recommendations against Disclosure, Care, Conflict of Interest, and Compliance obligations.
  • Trigger Identification: Determine if an interaction constitutes a "recommendation" under Reg BI.
  • Use Case: A compliance officer needs to assess if a recent recommendation to a retail client to roll over their 401(k) to an IRA meets all Reg BI requirements, including the consideration of alternatives and fee disclosures.

Quick Start

Analyze whether a broker-dealer recommendation satisfies Reg BI obligations.

Frequently Asked Questions about reg-bi

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

FAQPage Schema
What is Reg BI compliance for broker-dealer recommendations?▼

Reg BI compliance requires broker-dealers to satisfy four SEC obligations: Disclosure, Care, Conflict of Interest, and Compliance. This Skill analyzes recommendations against these four core obligations to verify adherence and ensure retail client interactions meet the legal standard.

How do I evaluate a 401(k) rollover recommendation under Reg BI?▼

To evaluate a rollover under Reg BI, you must consider reasonably available alternatives and provide necessary fee disclosures. This Skill analyzes rollover compliance by assessing whether the recommendation meets the Care obligation and adequately documents the comparison of options.

Does Reg BI apply to dual-registrant share class and account type recommendations?▼

Yes, Reg BI applies to dual-registrant recommendations involving share classes and account types, requiring specific conflict of interest disclosures. This Skill evaluates these interactions to determine if they trigger the 'recommendation' standard and verifies dual-registrant disclosure compliance.

How do I prepare for a SEC Reg BI compliance examination?▼

Preparing for a Reg BI examination involves reviewing broker-dealer recommendations against all four SEC obligations and documenting the evaluation of alternatives. This Skill assists examination preparation by structuring compliance analysis across Disclosure, Care, Conflict of Interest, and Compliance requirements.

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