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Guide the implementation of customer identification, due diligence, and ongoing monitoring under FINRA Rule 2090, CIP, and the FinCEN CDD Rule. Use when the user asks about customer onboarding identit…
Identify, disclose, and mitigate conflicts of interest in advisory and brokerage relationships under Reg BI and fiduciary duty. Use when the user asks about compensation-based conflicts, proprietary p…
Compute and compare investment return metrics including TWR, MWR/IRR, CAGR, and annualized returns. Use when the user asks about portfolio performance calculation, comparing manager returns, linking s…
Guide margin lending, margin requirements, and margin call operations for brokerage and advisory accounts. Use when calculating Reg T initial margin or buying power, determining maintenance margin or …
Guide regulatory filing obligations and deadlines for investment advisers, broker-dealers, and large traders. Use when the user asks about Form PF filing thresholds, 13F institutional holdings reports…
Analyze structured fixed income products including mortgage-backed securities, asset-backed securities, and CLOs. Use when the user asks about MBS, ABS, CLOs, CDOs, prepayment risk, tranching, or wate…
Analyze corporate bonds and credit instruments including investment grade and high yield debt. Use when the user asks about corporate bonds, credit spreads (OAS, Z-spread, G-spread), credit ratings, d…
Maximize after-tax returns through strategic asset location, tax-loss harvesting, gain/loss management, and withdrawal sequencing. Use when the user asks about asset location, tax-loss harvesting, Rot…
Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle. Use when the user asks about exam notification letters, document request lists, deficiency letter respo…
Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations. Use when the user asks about privacy notices, the Safeguards…
Assess investment suitability obligations under FINRA Rules 2111 and 2090 across all three suitability prongs. Use when the user asks about reasonable-basis, customer-specific, or quantitative suitabi…
Analyze broker-dealer recommendations under SEC Regulation Best Interest's four obligations: Disclosure, Care, Conflict of Interest, and Compliance. Use when the user asks whether a recommendation sat…
Build diversified portfolios using correlation analysis, efficient frontier construction, and factor-based diversification. Use when the user asks about portfolio variance, correlation effects, the ef…
Analyze government bonds including US Treasuries, yield curves, duration, convexity, and TIPS. Use when the user asks about Treasury bonds, sovereign debt, yield curve construction, interest rate risk…
Assess business quality, competitive positioning, and sustainability of value creation beyond financial models. Use when the user asks about economic moats, competitive advantages, Porter's Five Force…
Plan and track savings for specific financial goals including retirement, education, and home purchase. Use when the user asks about required savings rates, 529 plans, retirement accumulation targets,…
Determine when a product, platform, or communication crosses the regulatory line from education into investment advice requiring registration. Use when the user asks about the definition of investment…
Identify and prevent sales practice violations under FINRA and SEC rules governing broker-dealer conduct. Use when the user asks about churning or excessive trading metrics, mutual fund breakpoint dis…
Ensure investment firms satisfy CFA Institute GIPS requirements for composite construction, performance calculation, presentation, and verification. Use when the user asks about building composites, t…
Guide identification, measurement, and management of operational risk in trading and brokerage operations. Use when designing trade error detection and correction procedures, investigating trade break…
Analyze municipal bonds including tax-equivalent yield calculations, GO vs revenue bond evaluation, and muni credit analysis. Use when the user asks about municipal bonds, tax-exempt income, tax-equiv…
Construct comprehensive Investment Policy Statements governing return objectives, risk tolerance, and portfolio constraints. Use when the user asks about building an IPS, setting return objectives, as…
Plan and manage cash flow to ensure adequate liquidity while minimizing opportunity cost of excess cash. Use when the user asks about cash flow forecasting, CD or bond laddering, liquidity tiers, inco…
Maintain portfolio allocations over time using calendar-based, threshold-based, and tax-efficient rebalancing strategies. Use when the user asks about when to rebalance, rebalancing bands, transaction…