Books And Records

by JoelLewis

Books And Records is a DevOps 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 Books And Records

Copy Books And Records 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/books-and-records ~/.claude/skills/books-and-records

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/books-and-records/SKILL.md in JoelLewis/finance_skills
Installs to: ~/.claude/skills/books-and-records
Collection: One of 25 skills cataloged from this repository
Category: DevOps — 1044 skills

What Books And Records does

Books And Records guides broker-dealer recordkeeping under SEC Rules 17a-3, 17a-4, and 204-2. Use it to determine what records to create, how long to keep them, and storage or archiving requirements.

Books And Records is cataloged under DevOps on DirSkills. Books And Records comes from a repository tagged claude, claude-code, compliance, finance and financial-services.

Documentation

README

Excerpt

Books and Records

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

SEC Rule 17a-3 (17 CFR 240.17a-3) specifies the books and records that every registered broker-dealer must create and maintain. These records form the foundation of regulatory oversight, enabling examiners to reconstruct transactions, verify compliance, and protect investors. The principal categories of required records are:

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

Frequently asked about Books And Records

What else does JoelLewis publish alongside Books And Records?
Books And Records 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 Books And Records 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 Books And Records compare to other DevOps skills?
Books And Records ranks #945 by stars among the 1044 DevOps skills in this catalog. The most-starred ones next to it are Backend Patterns, API Connector Builder and Migration. 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 Books And Records against them. Open each page to compare what they document and how they install.