open-gitagent/regulatory-analysis
examples/full/skills/regulatory-analysis/SKILL.md
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.
$ install --global
skillsauthnpx skillsauth add open-gitagent/gitagent regulatory-analysisInstall this skill globally with one command. Works with Claude Code, Cursor, and Windsurf.
Security Scan Results
3 of 9 scanners reported clean
Some scanners were skipped, did not run, or reported a non-clean status. Review each row below.
3
Scanners Passed
9
Scanners in report
Clean
TrivyContainer and dependency vulnerability scanner
95%
Clean
SemgrepStatic code analysis for vulnerabilities
95%
Clean
mcp-scan (Snyk)Model Context Protocol security validation
95%
Skipped
Snyk (dep)Open source security scanning
50%
Skipped
Socket.devSupply chain security analysis
50%
Skipped
VirusTotalMulti-engine malware detection
50%
Skipped
CrowdStrikeAdvanced threat intelligence
50%
Skipped
OSV-ScannerOpen Source Vulnerability database check
50%
Skipped
OWASP Dep-Check
50%
Last scanned: Apr 24, 2026, 8:34 PM0.5s1 file scanned
SKILL.md
- name:
- regulatory-analysis
- description:
- 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:
- proprietary
- allowed-tools:
- search-regulations
- author:
- gitagent-examples
- version:
- 1.0.0
- category:
- compliance
- risk_tier:
- high
- regulatory_frameworks:
- finra,sec,federal_reserve,cfpb
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
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