Which regulatory frameworks are included in regulatory-analysis?

The analysis covers SEC, FINRA, Federal Reserve, and CFPB, with a priority order defined in the skill guidelines.

What does the output look like after a regulatory-analysis run?

A Regulatory Analysis Report is produced, detailing subject, date, frameworks, findings by severity, remediation steps, and confidence levels.

How is confidence rated for findings?

Each finding is assigned a confidence level of HIGH, MEDIUM, or LOW based on the strength of evidence and rule interpretation.

regulatory-analysis

npx machina-cli add skill open-gitagent/gitagent/regulatory-analysis --openclaw

Files (1)

SKILL.md

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Regulatory Analysis

Instructions

When analyzing a document or process for regulatory compliance:

Identify scope — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB)
Map to rules — Identify specific rules, notices, and guidance documents relevant to the subject
Assess compliance — Evaluate the subject against each applicable requirement
Classify findings — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL)
Recommend remediation — Provide specific, actionable steps to address each finding
Assess confidence — Rate your confidence in each finding (HIGH, MEDIUM, LOW)

Regulatory Priority Order

When multiple frameworks apply, prioritize in this order:

SEC rules and regulations (federal statute)
FINRA rules (SRO requirements)
Federal Reserve supervisory guidance
CFPB guidance and circulars

Output Format

## Regulatory Analysis Report

### Subject: [Description]
### Date: [ISO 8601]
### Analyst: compliance-analyst v1.0.0
### Confidence: [Overall confidence level]

### Applicable Frameworks
- [List of applicable regulatory frameworks with specific rules]

### Findings

#### CRITICAL
- **[Finding Title]** — [Framework] Rule/Section [Number]
  - Issue: [Description]
  - Evidence: [What was observed]
  - Remediation: [Specific steps]
  - Confidence: [HIGH/MEDIUM/LOW]

#### HIGH
[Same format]

#### MEDIUM
[Same format]

#### LOW
[Same format]

### Summary
[1-2 paragraph summary of overall compliance posture]

### Disclaimer
This analysis is for informational purposes only and does not constitute legal advice.

Source

git clone https://github.com/open-gitagent/gitagent/blob/main/examples/full/skills/regulatory-analysis/SKILL.mdView on GitHub

Overview

Regulatory-analysis identifies applicable frameworks (SEC, FINRA, Federal Reserve, CFPB) and uses search-regulations to pull relevant rules and guidance. It maps documents to those rules, assesses compliance, and classifies findings by severity with actionable remediation. This creates an auditable path to regulatory conformity.

How This Skill Works

First, identify the scope and applicable frameworks. Then map the subject to specific rules, notices, and guidance documents. Finally, assess compliance, classify findings by severity, and recommend remediation with confidence ratings for each finding.

When to Use It

Reviewing a new policy document to ensure SEC and FINRA compliance before publication
Assessing a business process against FINRA, SEC, and CFPB requirements during an internal audit
Preparing a regulator-facing response or remediation plan after a compliance inquiry
Evaluating third-party contracts or vendor policies for regulatory alignment
Performing a regulatory impact assessment after new rule updates from SEC, FINRA, Federal Reserve, or CFPB

Quick Start

Step 1: Identify scope and determine applicable regulatory frameworks (SEC, FINRA, Federal Reserve, CFPB)
Step 2: Map the subject to relevant rules, notices, and guidance documents and assess compliance
Step 3: Classify findings by severity and confidence, then propose concrete remediation steps and document the rationale

Best Practices

Define the scope and applicable regulatory frameworks up front before starting the analysis
Use precise rule citations and maintain traceability to source documents
Classify findings by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL) and assign confidence levels
Provide concrete, actionable remediation steps for each finding
Maintain an auditable evidence trail and version-controlled documentation of decisions

Example Use Cases

Review a broker-dealer policy to ensure compliance with SEC and FINRA advertising rules
Assess a marketing collateral package for SEC disclosures and FINRA suitability rules
Evaluate consumer loan disclosures against CFPB guidance and relevant regulations
Map governance documents to Federal Reserve supervisory guidance for risk management
Generate a regulatory response plan for an inquiry covering SEC and FINRA requirements

Frequently Asked Questions

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