Financial services firms require specialized compliance frameworks that address SEC regulations, FINRA requirements, and investor protection standards. This guide provides systematic prompts for regulatory compliance, client communication, and risk management in securities and investment advisory contexts.

TL;DR Verdict

• Use Financial Compliance Prompts if: You're operating investment advisory services, broker-dealers, or securities-related business requiring SEC/FINRA compliance.

• Use General Business Prompts if: Your financial services don't involve securities, investment advice, or regulated financial activities.

• Bottom line: Securities regulations require specialized expertise that general business prompts cannot safely address.

SEC and FINRA Regulatory Framework

Investment Advisor Compliance (SEC)

Fiduciary Duty Requirements:

• Best interest standard and conflict of interest management

• Fee disclosure and reasonableness standards

• Performance reporting accuracy and standardization

• Client privacy protection and information safeguarding

Registration and Reporting Obligations:

• Form ADV filing and annual updates

• Client brochure delivery and acknowledgment

• Custody rule compliance and client asset protection

• Recordkeeping requirements and examination readiness

Broker-Dealer Compliance (FINRA)

Sales Practice Standards:

• Suitability and know-your-customer requirements

• Fair dealing and communication standards

• Supervision and compliance monitoring

• Anti-money laundering and customer identification

Market Conduct Rules:

• Best execution and order handling

• Research and investment banking conflicts

• Market making and proprietary trading

• Technology and cybersecurity requirements

Client Communication Compliance Frameworks

Investment Advisory Communications

Client Advisory and Disclosure Requirements:

Broker-Dealer Customer Communications

FINRA Communication Standards:

Regulatory Compliance Documentation

Examination and Audit Preparation

Regulatory Examination Readiness:

Risk Management and Internal Controls

Compliance Risk Assessment:

Specialized Financial Services Applications

Investment Management Compliance

Portfolio Management Documentation:

Retirement Plan Services

ERISA Fiduciary Compliance: