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Investment advertising compliance v1.0.0

Use this resource to check the compliance of a financial marketing piece

New

  • 495 downloads
  • 207 likes
  • 206 saves

Free

Install with the CLI

In a terminal, from the folder you want:

npx --yes palatekit@latest install investment-advertising-compliance

With 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 login

The agent reviews performance claims, testimonials, third-party ratings, social media posts and recordkeeping against the SEC Marketing Rule (206(4)-1) and FINRA Rule 2210. You get a point-by-point check with the gaps and the fixes to make.

Mostly picked by

Updated November 2, 2026

Card for the “Investment advertising compliance” skill

Details

Works in
Install guides
Generates with
Your agent's model
Licence
MIT

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What you get

  • SKILL.md: rules on performance, testimonials and third-party ratings
  • SKILL.md: social media, recordkeeping and worked examples

Good fit for

  • You want to show a track record on your website
  • An adviser posts on social media about their services

Not for

    Tags

    • advertising
    • compliance
    • SEC
    • FINRA
    • marketing

    About

    You say

    “Review my pitchbook: it shows gross returns and a three-year backtest.”

    Card for the “Investment advertising compliance” skill

    Skill published by joellewis under the MIT license, delivered in its original version.

    Show more

    How to use it

    1. Install the skill in your agent's skills folder
    2. Ask your agent to check the compliance of a financial marketing piece
    3. Review and adjust the result

    Content preview

    Files

    • LICENSE1 KB
    • NOTICE-PALATEKIT.md0.5 KB
    • SKILL.md26.5 KB

    Origin and licence

    Listed unmodified

    Author
    joellewis
    Source
    github.com/joellewis/finance_skills/tree/5c498eacf7057e31238c4c5a8012a1afe9ec7c8a/plugins/compliance/skills/advertising-compliance
    Licence
    MIT

    Notice

    « advertising-compliance » (joellewis, MIT) livré dans sa version d'origine : fiche en français et en anglais par PalateKit.

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