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from finance_skills127
Explains when content or tools cross from education into regulated investment advice and the compliance implications for fintechs, publishers, and AI tools.
Summarizes the legal and regulatory framework (Advisers Act Section 202(a)(11), publisher's exclusion, broker-dealer incidental exclusion, Reg BI) that determines when communications or digital tools constitute investment advice. It gives practical analysis, worked examples, and guidance for product and compliance teams to assess registration triggers and supervisory obligations.
Trigger this skill when asked questions like: 'do I need to register as an investment adviser', 'does this app give investment advice', 'is this feature educational or advisory', or when assessing AI/chatbot outputs, robo-advice, model portfolios, or broker-dealer talking points for regulatory risk. Useful for legal, compliance, product, and engineering reviews.
Best used by compliance-focused agents and developer tools that need authoritative regulatory summaries (Claude Code, Copilot-like assistants, legal automation agents).
This skill has not been reviewed by our automated audit pipeline yet.
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