regulatory-analysis
Regulatory Analysis evaluates documents and workflows against four major financial regulatory frameworks—FINRA, SEC, Federal Reserve, and CFPB—flagging compliance violations by severity level. Each finding includes the applicable rule, observed evidence, and concrete remediation steps, with confidence ratings to guide prioritization. Built for compliance audits, gap analyses, and policy adherence verification.
Regulatory Analysis audits documents and processes against FINRA, SEC, Federal Reserve, and CFPB frameworks to identify compliance gaps.
AI-generated summary based on this skill's SKILL.md
Decision gist · record as of 2026-07-02
Regulatory Analysis audits documents and processes against FINRA, SEC, Federal Reserve, and CFPB frameworks to identify compliance gaps. Regulatory Analysis evaluates documents and workflows against four major financial regulatory frameworks—FINRA, SEC, Federal Reserve, and CFPB—flagging compliance violations by severity level. Each finding includes the applicable rule, observed evidence, and concrete remediation steps, with confidence ratings to guide prioritization. Built for compliance audits, gap analyses, and policy adherence verification.
Use it when
- Yes.
- Regulatory Analysis scans documents and processes for deviations from FINRA, SEC, Federal Reserve, and CFPB frameworks.
Verify before relying
Read SKILL.md below before installing (1 file). Open directory: indexed for reading, not audited.
Install
open-gitagent/opengap/regulatory-analysis · repository language: TypeScript
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Frequently asked questions
AI-generated answers based on this skill's SKILL.md and metadata
What is regulatory-analysis and what does it do?
Regulatory Analysis evaluates documents and workflows against four major financial regulatory frameworks—FINRA, SEC, Federal Reserve, and CFPB—flagging compliance violations by severity level. Each finding includes the applicable rule, observed evidence, and concrete remediation steps, with confidence ratings to guide prioritization. It is built for compliance audits, gap analyses, and policy adherence verification.
Can I use regulatory-analysis to check my documents against SEC rules?
Yes. Regulatory Analysis audits your documents and processes against SEC rules alongside FINRA, Federal Reserve, and CFPB requirements. The tool identifies violations, classifies them by severity, cites the specific regulatory rules involved, and delivers actionable remediation steps to bring your policies into compliance.
How does regulatory-analysis identify and classify compliance gaps?
Regulatory Analysis scans documents and processes for deviations from FINRA, SEC, Federal Reserve, and CFPB frameworks. It classifies each gap by severity level, provides the applicable rule citation, shows the evidence found, and generates concrete remediation steps. Confidence ratings help you prioritize which violations to address first.
What regulatory frameworks does regulatory-analysis cover?
Regulatory Analysis audits against four major financial regulatory frameworks: FINRA, SEC, Federal Reserve, and CFPB. It verifies policy adherence to each framework, identifies violations specific to each regulator's rules, and assesses confidence levels in its findings to support your compliance strategy.
Does regulatory-analysis provide remediation guidance for violations?
Yes. Regulatory Analysis generates actionable remediation steps for each compliance violation it identifies. Beyond flagging the problem and citing the rule, it delivers concrete next steps to resolve the gap, helping your team move from audit findings to corrective action efficiently.
How confident should I be in regulatory-analysis findings?
Regulatory Analysis includes confidence ratings with each finding to help you gauge reliability. The tool validates regulatory rule citations and assesses confidence levels so you can prioritize high-confidence violations and allocate resources effectively across your compliance remediation work.
SKILL.md
Rendered from the published skill. Quoted content, verbatim.
Regulatory Analysis
Instructions
When analyzing a document or process for regulatory compliance:
- Identify scope — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB)
- Map to rules — Identify specific rules, notices, and guidance documents relevant to the subject
- Assess compliance — Evaluate the subject against each applicable requirement
- Classify findings — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL)
- Recommend remediation — Provide specific, actionable steps to address each finding
- Assess confidence — Rate your
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