Advice Standards

by JoelLewis

Advice Standards is an AI Engineering skill for Claude Code, published by JoelLewis in finance_skills.

184 stars35 forkson JoelLewis/finance_skillsAdded 2026/09/07+3% in starsRepository updated 2026/07/18

View source on GitHub Download repo ZIP

claudeclaude-codecompliancefinancefinancial-servicesskillswealth-management

Install in seconds

Install Advice Standards

Copy Advice Standards into your Claude Code skills folder. Run the command in your terminal, or review the source on GitHub before installing.

terminal

npx degit https://github.com/JoelLewis/finance_skills/tree/main/plugins/compliance/skills/advice-standards ~/.claude/skills/advice-standards

Requires Node.js. Downloads this skill only — not the rest of the repository — into your Claude Code skills folder.

Without Node.js

git clone https://github.com/JoelLewis/finance_skills.git

Clones the whole repository, then copy the skill’s own directory into your skills folder yourself.

In this catalog

Source file: plugins/compliance/skills/advice-standards/SKILL.md in JoelLewis/finance_skills
Installs to: ~/.claude/skills/advice-standards
Collection: One of 25 skills cataloged from this repository
Category: AI Engineering — 3475 skills

What Advice Standards does

Advice Standards determines when a product, platform, or communication crosses from education into investment advice under Advisers Act Section 202(a)(11). Use it to assess registration questions, publisher and broker-dealer exclusions, and disclaimer language for financial content.

Advice Standards is cataloged under AI Engineering on DirSkills. Advice Standards comes from a repository tagged claude, claude-code, compliance, finance and financial-services.

Documentation

README

Excerpt

Investment Advice Standards & Regulatory Boundaries

Regulatory status current as of June 2026 — verify effective dates, dollar thresholds, and pending rulemakings against current SEC/FINRA/FinCEN sources before advising.

Core Concepts

The Statutory Definition: Investment Advisers Act Section 202(a)(11)

Under Section 202(a)(11) of the Investment Advisers Act of 1940 (15 U.S.C. Section 80b-2(a)(11)), an "investment adviser" is any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities. The SEC applies a three-prong test, all of which must be satisfied:

This is the opening of the README. Read the full README on GitHub.

Frequently asked about Advice Standards

What else does JoelLewis publish alongside Advice Standards?
Advice Standards is one of 25 skills that DirSkills catalogs from JoelLewis/finance_skills, the repository it ships in. Its siblings there include Account Maintenance, Account Opening Compliance and Account Opening Workflow. Each one is a separate skill with its own page in this directory, installs the same way Advice Standards does, and is maintained by JoelLewis in that same repository. The rest of the collection is listed on the JoelLewis/finance_skills page.
How does Advice Standards compare to other AI Engineering skills?
Advice Standards ranks #3030 by stars among the 3475 AI Engineering skills in this catalog. The most-starred ones next to it are Architecture Decision Records, AI-First Engineering and Agentic OS. DirSkills ranks by the star count of the repository each skill ships in, so that order reflects how popular those repositories are rather than any review of Advice Standards against them. Open each page to compare what they document and how they install.