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Reg BI: broker-dealer obligations and recommendations v1.0.0

Use this resource to assess whether a broker-dealer recommendation meets Reg BI

New

  • 475 downloads
  • 162 likes
  • 129 saves

Free

Install with the CLI

In a terminal, from the folder you want:

npx --yes palatekit@latest install reg-bi-recommendation-review

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 first checks whether an action counts as a “recommendation” under Reg BI, then reviews the four obligations: disclosure, care, conflict of interest and compliance. It compares with FINRA suitability and the adviser fiduciary duty. The regulatory status is dated June 2026 and should be checked against official sources.

Mostly picked by

Updated November 2, 2026

Card for the “Reg BI: broker-dealer obligations and recommendations” skill

Details

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

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What you get

  • SKILL.md: recommendation criteria and the four Reg BI obligations
  • SKILL.md: comparison with FINRA suitability, fiduciary duty and rollover recommendations

Good fit for

  • A broker recommends a product to a retail client and you need to check compliance
  • You are preparing an internal review of rollover recommendations

Not for

    Tags

    • Reg BI
    • broker-dealer
    • recommendation
    • compliance

    About

    You say

    “Does this rollover recommendation into a fee-based account meet Reg BI?”

    Card for the “Reg BI: broker-dealer obligations and recommendations” 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 assess whether a broker-dealer recommendation meets Reg BI
    3. Review and adjust the result

    Content preview

    Files

    • LICENSE1 KB
    • NOTICE-PALATEKIT.md0.5 KB
    • SKILL.md26.3 KB

    Origin and licence

    Listed unmodified

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

    Notice

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

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