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compliance

v1.0.0finance30 stars

US securities regulatory guidance for broker-dealers and investment advisers. Covers FINRA, SEC, ERISA, FinCEN, and CFA Institute GIPS requirements. Guidance-only — no Python scripts.

Install

/plugin install compliance@joellewis-finance_skills
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More from JoelLewis/finance_skillsView source

compliance · regulatory · SEC · FINRA · ERISA · AML