Regulatory Analysis

Checks documents against FINRA, SEC, Fed, and CFPB rules and flags compliance gaps.

Works with setup

Test report

Verdict
Works with setup
Score
6.0/10
Tested
Jul 13, 2026
Environment
Claude Code 2.x (agent harness)
Upstream re-checked
Aug 10, 2026 · 2fbb9f2

Its allowed-tools: search-regulations frontmatter references a 'live regulatory database' search tool whose implementation script exists nowhere in the repo -- an orphaned dependency left behind when the skill was carved out of OpenGAP's larger example-agent bundle -- so it was tested only on the standalone document-analysis part, which works without the missing tool. Verbatim git clone + cp installs cleanly and the SKILL.md YAML parses strictly. A/B on a planted broker-dealer onboarding excerpt was a wash: the skill produced a well-structured report (severity + confidence + disclaimer) but the base arm without the skill matched it and actually caught more -- a fourth margin-disclosure finding plus deeper citations (FINRA 3260, Reg T, Form CRS, 10b-5) and correct CFPB non-applicability scoping.

Scored on four weighted criteria — install, triggering, output vs. baseline, docs. How scoring works

  • Installs cleanly 4/5
  • Triggers reliably 4/5
  • Output vs. baseline 5/10
  • Docs & honesty 2/5

What Regulatory Analysis does

Analyzes documents and processes against FINRA, SEC, Federal Reserve, and CFPB regulatory frameworks. Identifies compliance gaps, classifies findings by severity, and recommends remediation. Use when performing compliance audits, regulatory reviews, gap analyses, or verifying policy adherence to financial regulations.

How to install Regulatory Analysis

git clone https://github.com/open-gitagent/opengap
cd opengap
mkdir -p ~/.claude/skills
cp -r examples/full/skills/regulatory-analysis ~/.claude/skills/regulatory-analysis

Skills live in ~/.claude/skills/ (global) or .claude/skills/ (per-project). Restart Claude Code after installing.

Commands — how to trigger Regulatory Analysis

  • /regulatory-analysis Checks documents against FINRA, SEC, Fed, and CFPB rules and flags compliance gaps.

It also activates on plain-language prompts like these:

  • Check this policy against FINRA compliance requirements
  • Run a regulatory gap analysis on this process doc
  • Verify our procedure matches SEC disclosure rules

Frequently asked questions

Is the Regulatory Analysis skill free?
Yes. The skill itself is free from open-gitagent/opengap. SkillProof publishes the install command and an independent test verdict at no cost.
Does Regulatory Analysis work with Claude Code?
We tested it with Claude Code 2.x (agent harness) on Jul 13, 2026. Verdict: Works with setup. Its allowed-tools: search-regulations frontmatter references a 'live regulatory database' search tool whose implementation script exists nowhere in the repo -- an orphaned dependency left behind when the skill was carved out of OpenGAP's larger example-agent bundle -- so it was tested only on the standalone document-analysis part, which works without the missing tool. Verbatim git clone + cp installs cleanly and the SKILL.md YAML parses strictly. A/B on a planted broker-dealer onboarding excerpt was a wash: the skill produced a well-structured report (severity + confidence + disclaimer) but the base arm without the skill matched it and actually caught more -- a fourth margin-disclosure finding plus deeper citations (FINRA 3260, Reg T, Form CRS, 10b-5) and correct CFPB non-applicability scoping.
What is the Regulatory Analysis SkillProof Score?
6.0/10 — installs cleanly 4/5, triggers reliably 4/5, output vs. baseline 5/10, docs & honesty 2/5.
How do I install Regulatory Analysis?
Copy the install command from this page, run it in your terminal, and restart Claude Code. Skills live in ~/.claude/skills/ (global) or .claude/skills/ inside a project.
Can I use Regulatory Analysis with Cursor, Copilot, Gemini CLI, Codex or other AI tools?
The SKILL.md format is native to Claude (Claude Code, Desktop, claude.ai). The instructions inside adapt to other assistants: Cursor rules, GitHub Copilot instructions, Windsurf rules, Custom GPTs, AGENTS.md for OpenAI Codex, and GEMINI.md for Google Gemini CLI — our conversion guides cover each, and the free converter on the tools page does the wrapping for you.