This skill provides specialized guidance for navigating FINRA Rules 2111 and 2090, helping compliance officers and advisors assess the three prongs of suitability: reasonable-basis, customer-specific, and quantitative. It offers deep domain knowledge on complex products like leveraged ETFs, variable annuities, and alternative investments, while also covering the transition from traditional suitability to Regulation Best Interest (Reg BI). By analyzing customer profiles against specific product risks, it identifies potential enforcement red flags and ensures that recommendations align with investor objectives, risk tolerance, and financial needs.
主な機能
01Assesses institutional suitability exemptions and household-level context.
02Calculates quantitative suitability metrics like turnover and cost-to-equity ratios.
03Evaluates product-specific risks for complex assets like leveraged ETFs and VAs.
04Identifies alignment with Reg BI Care Obligations and documentation standards.
0518 GitHub stars
06Analyzes recommendations based on the three FINRA suitability prongs.
