Investment Suitability

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