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Broker sales practices: detection and prevention v1.0.0
Use this resource to detect and prevent abusive sales practices at a broker-dealer
New
- 368 downloads
- 155 likes
- 226 saves
Free
Install with the CLI
In a terminal, from the folder you want:
npx --yes palatekit@latest install broker-sales-practicesWith no option, the skill goes to ~/.agents/skills/; add --agent claude-code (or codex, cursor…) to target an agent.
First time: connect the CLI with
npx --yes palatekit@latest loginThe agent reviews risk situations: excessive trading (churning), breakpoint abuse, unauthorized trades, selling away, outside business activities and protections for senior clients. It relies on FINRA and SEC rules and suggests supervision checkpoints. The regulatory status is dated June 2026 and should be verified.
Mostly picked by
Updated November 2, 2026
Previews
Details
- Install guides
- Generates with
- Your agent's model
- Licence
- MIT
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What you get
- SKILL.md: FINRA Rules 2010, 2020, 3280, 3270, 3110 and 2165 by case
- SKILL.md: turnover indicators, breakpoint discounts, marking the close and supervision controls
Good fit for
- A portfolio's turnover looks abnormally high
- A senior client wants to name a trusted contact
Not for
Tags
- brokerage
- churning
- supervision
- FINRA
About
You say
“Is this portfolio turnover rate a sign of churning? What should the supervisor check?”
Skill published by joellewis under the MIT license, delivered in its original version.
Show moreShow less
How to use it
- Install the skill in your agent's skills folder
- Ask your agent to detect and prevent abusive sales practices at a broker-dealer
- Review and adjust the result
Content preview
Files
- LICENSE1 KB
- NOTICE-PALATEKIT.md0.5 KB
- SKILL.md26.1 KB
Origin and licence
Listed unmodified
- Author
- joellewis
- Source
- github.com/joellewis/finance_skills/tree/5c498eacf7057e31238c4c5a8012a1afe9ec7c8a/plugins/compliance/skills/sales-practices
- Licence
- MIT
Notice
« sales-practices » (joellewis, MIT) livré dans sa version d'origine : fiche en français et en anglais par PalateKit.
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