Books And Records
JoelLewis/finance_skills/plugins/compliance/skills/books-and-recordsby JoelLewis5c498eacf7057e31238c4c5a8012a1afe9ec7c8aNo licenseListed Oct 9, 2026Updated Oct 9, 2026
Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2. Use when the user asks about document retention schedules, how long to keep trade records or customer complaints, WORM storage requirements, email or text message archiving, social media capture, BYOD compliance policies, or electronic storage audit trails. Also trigger when users mention 'we got an exam request for records', 'migrating to a new archiving vendor', 'blotter retention', 'order ticket requirements', 'off-channel communications', 'WhatsApp archiving', or ask how long specific records must be kept.
Only the file list is public. File contents are available once the skill is installed in a workspace.
| Path | Size | Type |
|---|---|---|
| references/retention-schedule.md | 2.3 KB | text/markdown |
| SKILL.md | 41.2 KB | text/markdown |
Source and attribution
Source:JoelLewis/finance_skillsinplugins/compliance/skills/books-and-recordsat commit5c498ea
License: No license
Content belongs to its original authors. SourceWeft indexes it from a public repository.
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