Compliance

SEC / FINRA regulatory framing

Reading Reg BI, Form ADV, and FINRA notices and translating them into product requirements.

Market demand

55%

How under-taught it is

70%

Roles that need this skill

Tap a role to open its full playbook — required skills, salary band, day in the life.

How the work gets done

The same four lenses applied to every capability and role page.

1 operation

Pre-trade compliance checks
daily
Suitability, concentration, restricted lists, and IPS bands enforced before the order leaves the OMS.

6 operations

Trade & personal-trading surveillance
daily
Personal-trade pre-clearance, restricted-list checks, and post-trade scans all roll up to one analyst queue.
Communications archiving & lexicon flagging
daily
Email, chat, and voice captured with lexicon flags routed to reviewers; retention satisfies SEC 17a-4.
Marketing-rule review
weekly
Performance claims, testimonials, and endorsements queue for review with disclosures matched to the asset.
Analyst investigation & disposition
weekly
Each flag has a one-screen investigation packet with linked evidence; disposition logged with reasoning.
Reg BI / fiduciary documentation
event
Each recommendation carries a contemporaneous best-interest memo, linked to the supporting plan analysis.
Audit trail & exam evidence packs
event
One click produces a date-bounded evidence package with comms, trades, attestations, and dispositions.

Features that use this skill

Market moves to know

Tap a chip to see current coverage — briefs are being written for each.

Recommended path

A practical path for SEC / FINRA regulatory framing

Step 1 · Free · play now
Are you ready for the agentic era?
A 5-question gut-check on whether you could brief an agent to do sec / finra regulatory framing work. Local, instant score.
Jump to a quiz
Step 2 · Premium · full playbook
The full playbook (preview)
Checklists, real templates, and the failure modes that don't make it into courses. First 30% free.
See a role that uses this skill
Preview
Step 3 · 1:1 · operator session
1:1 with an operator
30 minutes — case prompts, portfolio review, or interview prep tailored to this skill.
Coming soon
Live

Practice & explore

Drills, quizzes, vendor matrix, industry map, and reads — all in one place.

See where this skill shows up on the map — demand, vendor stack, and how AI is reshaping the work.