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Preparing for an SEC or FINRA examination v1.0.0

Use this resource to prepare for and run an SEC or FINRA regulatory examination

New

  • 411 downloads
  • 234 likes
  • 109 saves

Free

Install with the CLI

In a terminal, from the folder you want:

npx --yes palatekit@latest install regulatory-exam-preparation

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 guides the exam cycle: the notification letter, the document request list, a mock examination, responses to deficiency findings and the annual compliance review under Rule 206(4)-7. It reminds you of the SEC's annual priorities and common findings. The regulatory status is dated June 2026.

Mostly picked by

Updated November 2, 2026

Card for the “Preparing for an SEC or FINRA examination” skill

Details

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

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What you get

  • SKILL.md: SEC and FINRA examination process, common findings and deficiency letter responses
  • references/: examination readiness checklist and examples

Good fit for

  • You just received an exam letter and do not know where to start
  • You want to run a mock examination before an SEC visit

Not for

    Tags

    • regulatory exam
    • SEC
    • FINRA
    • compliance

    About

    You say

    “We received an SEC exam letter: help me prepare the document list and the timeline.”

    Card for the “Preparing for an SEC or FINRA examination” 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 prepare for and run an SEC or FINRA regulatory examination
    3. Review and adjust the result

    Content preview

    Files

    • LICENSE1 KB
    • NOTICE-PALATEKIT.md0.5 KB
    • references/exam-readiness-checklist.md3.4 KB
    • references/examples.md13.3 KB
    • SKILL.md38.5 KB

    Origin and licence

    Listed unmodified

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

    Notice

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

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