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joellewis avatar

Investment Suitability

joellewis/finance_skills
439 installs164 stars
Summary

This walks you through FINRA Rules 2111 and 2090 to help you assess whether an investment recommendation passes muster. It covers all three suitability prongs (reasonable-basis, customer-specific, and quantitative), with specific guidance on complex products like leveraged ETFs and variable annuities, plus the metrics that matter for churning concerns (turnover ratios above 6, cost-to-equity above 20%). Use it when designing recommendation engines, reviewing account activity for red flags, or figuring out whether a hold recommendation needs documentation. The household vs account-level distinction is spelled out clearly, which matters more than you'd think when customers have assets scattered across platforms.

Install to Claude Code

npx -y skills add joellewis/finance_skills --skill investment-suitability --agent claude-code

Installs into .claude/skills of the current project.

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Files
SKILL.md

Select a file.

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Categories
Sales & MarketingDesign & UI/UXFinance & Trading
First SeenJun 3, 2026
View on GitHub

More from joellewis/finance_skills

All 84 skills →
  • Regulatory Reporting439
  • Settlement Clearing439
  • Client Onboarding438
  • Equities438
  • Exchange Connectivity438
  • Operational Risk437
  • Order Management Advisor436
  • Savings Goals436
  • Books And Records435
  • Advice Standards434
  • Fixed Income Sovereign434
  • Margin Operations434
  • Pre Trade Compliance434
  • Real Assets434
  • Alternatives433
  • Corporate Actions432
  • Fixed Income Structured432
  • Performance Attribution432
  • Counterparty Risk431
  • Qualitative Valuation430
  • Account Maintenance428
  • Account Opening Compliance428
  • Gips Compliance428
  • Post Trade Compliance428

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