Regulatory Reporting
JoelLewis/finance_skills/plugins/compliance/skills/regulatory-reportingby JoelLewis5c498eacf7057e31238c4c5a8012a1afe9ec7c8aNo licenseListed Oct 9, 2026Updated Oct 9, 2026
Guide regulatory filing mechanics and deadlines for investment advisers, broker-dealers, and large traders — which forms to file, where, and by when. Use when the user asks about Form PF filing thresholds, 13F institutional holdings reports, 13H large trader filings, Form ADV amendment filing timing (including the annual updating amendment filed via IARD), FOCUS report preparation, blue sheet requests, CAT reporting infrastructure, or FINRA short interest and TRACE reporting. Also trigger when users mention 'filing deadline calendar', 'do we need to file Form PF', 'crossed the $100M 13F threshold', 'CAT clock synchronization', 'how to respond to a blue sheet request', or 'FOCUS report errors'. (For what the ADV brochure must contain and when it must be delivered to clients, use client-disclosures.)
Only the file list is public. File contents are available once the skill is installed in a workspace.
| Path | Size | Type |
|---|---|---|
| references/filing-calendar.md | 2.5 KB | text/markdown |
| SKILL.md | 35.7 KB | text/markdown |
Source and attribution
Source:JoelLewis/finance_skillsinplugins/compliance/skills/regulatory-reportingat commit5c498ea
License: No license
Content belongs to its original authors. SourceWeft indexes it from a public repository.
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