Suitability Analysis
Assess investment suitability for retail clients under FINRA Rule 2111 and SEC Regulation Best Interest.
This skill assesses investment suitability for retail clients under FINRA Rule 2111 and SEC Regulation Best Interest. It guides AI agents through customer profile analysis, risk tolerance assessment, and suitability documentation. Designed for compliance officers, financial advisors, and wealth managers. From the JoelLewis/finance_skills collection. For educational and productivity use only. Always verify AI-generated outputs with a qualified professional before acting on them.
Compatible Agents
Use Cases
- ✓Assess investment suitability for retail clients
- ✓Apply FINRA Rule 2111 suitability requirements
- ✓Document suitability basis for recommendations
- ✓Review portfolio recommendations for suitability compliance
Trigger Phrases
How to Install
Copy the skill content, paste it into your AI agent's system prompt or project instructions, then describe your task.
Paste the skill link or content into your AI agent's system prompt or project instructions.
Requirements
- Claude or equivalent
- Client profile and investment objectives
- Proposed investment details