MCP App StoreMCP App Store
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 provides a thorough reference on when financial content or tools cross from education into regulated investment advice under US law. It covers SEC Advisers Act Section 202(a)(11), publisher's and broker-dealer exclusions, Reg BI, robo-advisers, DOL safe harbors, AI-generated content, and state registration triggers. Includes three detailed worked examples and a common pitfalls section. No scripts were bundled. Content is well-researched and precise with legal citations, though purely informational — no procedural workflow or tool use patterns for an agent to follow.
Clean skill — no security concerns whatsoever, no scripts, no network calls, no credentials. Well-structured SKILL.md with frontmatter and clear sections. The content is high-quality regulatory reference material but functions more as a knowledge base entry than an agent skill — it lacks triggers, tool definitions, or procedural steps an agent would execute. Broadly useful for fintech/compliance audiences but niche overall.
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