Investment Suitability
JoelLewis/finance_skills/plugins/compliance/skills/investment-suitabilityby JoelLewis5c498eacf7057e31238c4c5a8012a1afe9ec7c8aNo licenseListed Oct 9, 2026Updated Oct 9, 2026
Assess investment suitability obligations under FINRA Rules 2111 and 2090 across all three suitability prongs. Use when the user asks about reasonable-basis, customer-specific, or quantitative suitability, product-specific concerns for complex products, leveraged ETFs, variable annuities, or alternatives, household-level suitability and concentration analysis, hold recommendations, or the institutional suitability exemption. Also trigger when users mention 'is this investment suitable', 'suitability questionnaire design', 'complex product due diligence', 'concentrated position in a client account', 'customer refused to provide their risk tolerance', or ask whether a recommendation fits a customer's profile. (For churning, turnover-ratio, and excessive-trading enforcement triggers, use sales-practices.)
- 5c498eacf7057e31238c4c5a8012a1afe9ec7c8aCurrentcommit 5c498eaPublished Oct 9, 2026
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