Regulatory Analysis

This analyzes documents and processes against FINRA, SEC, Federal Reserve, and CFPB rules, then flags compliance gaps with severity ratings from critical to informational. It maps your content to specific rule numbers, explains what's wrong, and gives concrete remediation steps. The output format is structured as a formal compliance report with confidence levels on each finding. Use it for auditing policies, reviewing customer agreements, or checking if your processes meet regulatory requirements. One thing to note: it's marked high risk tier and includes a legal disclaimer, so treat this as a starting point for compliance work rather than a final determination. You'll still want human review before acting on findings.

GitHub stars: 2.8K
last updated: May 28, 2026

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Install

$ npx -y skills add open-gitagent/opengap --skill regulatory-analysis --agent claude-code

Installs into .claude/skills of the current project.

Files

Regulatory Analysis

Instructions

When analyzing a document or process for regulatory compliance:

Identify scope — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB)
Map to rules — Identify specific rules, notices, and guidance documents relevant to the subject
Assess compliance — Evaluate the subject against each applicable requirement
Classify findings — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL)
Recommend remediation — Provide specific, actionable steps to address each finding
Assess confidence — Rate your confidence in each finding (HIGH, MEDIUM, LOW)
Validate citations — Verify all cited rules exist and are current before finalizing

Regulatory Priority Order

When multiple frameworks apply, prioritize in this order:

SEC rules and regulations (federal statute)
FINRA rules (SRO requirements)
Federal Reserve supervisory guidance
CFPB guidance and circulars

Output Format

## Regulatory Analysis Report

### Subject: [Description]
### Date: [ISO 8601]
### Analyst: compliance-analyst v1.0.0
### Confidence: [Overall confidence level]

SKILL.md on GitHub