Sales Practices
JoelLewis/finance_skills/plugins/compliance/skills/sales-practicesby JoelLewis5c498eacf7057e31238c4c5a8012a1afe9ec7c8aNo licenseListed Oct 9, 2026Updated Oct 9, 2026
Identify and prevent sales practice violations under FINRA and SEC rules governing broker-dealer conduct. Use when the user asks about churning or excessive trading metrics, mutual fund breakpoint discounts, selling away or private securities transactions, outside business activities, unauthorized trading, supervisory procedure design, senior investor protections, trusted contact persons, variable annuity suitability, or options account approval. Also trigger when users mention 'turnover ratio is high', 'rep did trades without authorization', 'breakpoint abuse', 'trusted contact for elderly client', 'selling away from the firm', 'supervision failure', '1035 exchange review', 'marking the close', or ask whether a broker's conduct violates FINRA rules.
Only the file list is public. File contents are available once the skill is installed in a workspace.
| Path | Size | Type |
|---|---|---|
| SKILL.md | 26.1 KB | text/markdown |
Source and attribution
Source:JoelLewis/finance_skillsinplugins/compliance/skills/sales-practicesat commit5c498ea
License: No license
Content belongs to its original authors. SourceWeft indexes it from a public repository.
More from JoelLewis/finance_skills
Tax Loss Harvesting
JoelLewis
Guides a full tax-loss harvesting workflow: candidate screening, gain/loss budgeting, replacement selection, wash-sale compliance and monitoring.
Trade Execution
JoelLewis
Guides design, evaluation, and monitoring of trade execution quality and best execution practices for equities and fixed income.
Qualitative Valuation
JoelLewis
Assesses economic moats, competitive positioning and management quality, then maps findings to valuation adjustments.
Settlement Clearing
JoelLewis
Reference guide to US trade settlement and clearing: T+1 cycles, DTCC/NSCC/FICC infrastructure, CNS netting, DVP/RVP and fails.
Pre Trade Compliance
JoelLewis
Guides design and implementation of automated pre-trade compliance systems that validate orders before execution.
Investment Policy
JoelLewis
Guides construction of Investment Policy Statements covering return objectives, risk tolerance, constraints, allocation, and benchmarks.
More in Business & Finance
Audit Xls
anthropics
Audits spreadsheet formulas and financial models for errors, hardcodes, and integrity issues, then reports findings.
Sector Overview
anthropics
Produces industry and sector landscape reports covering market size, competitive positioning, valuation and investment implications.
Lbo Model
anthropics
Fills and validates leveraged buyout model templates in Excel, producing formula-driven, formatted financial workbooks.
Dcf Model
anthropics
Builds institutional-quality DCF equity valuation models as Excel workbooks with projections, WACC, and sensitivity analysis.
Comps Analysis
anthropics
Builds institutional-grade comparable company analyses as Excel spreadsheets with operating metrics, valuation multiples and statistics.
Audit Xls
anthropics
Audits spreadsheet formulas and financial models for errors, hardcodes, and integrity issues, then reports findings.