# JoelLewis > Open-source publisher. Listings imported from github.com/JoelLewis — credited to the original author with their license. - **Listings:** 50 - **Total installs:** 0 - **Profile:** https://agentstack.voostack.com/s/joellewis - **Website:** https://github.com/JoelLewis ## Published listings - [Client Onboarding](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-client-onboarding) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-client-onboarding` Design and implement end-to-end client onboarding workflows from prospect intake through funded account, covering KYC verification, document collection, e-signature, and custodian submission. Use when the user asks about building a digital onboarding flow, integrating identity verification or CIP checks, reducing NIGO rejection rates, opening complex account types like trusts or entities, connect… - [Workflow Automation](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-workflow-automation) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-workflow-automation` Design human-in-the-loop workflow orchestration for securities operations: task routing, approval chains, and SLA monitoring. Use when building multi-level approval chains with dollar thresholds and delegation of authority, enforcing four-eyes (maker-checker) controls, defining escalation rules for aging work items approaching SLA breach, designing human-in-the-loop gates, selecting a workflow en… - [Integration Patterns](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-integration-patterns) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-integration-patterns` Design and implement integration architectures connecting financial systems — APIs, FIX protocol, ISO 20022, event-driven patterns, batch feeds, idempotency, and resilience. Use when building custodian integration pipelines, implementing FIX connectivity for order routing, designing ISO 20022 or SWIFT migration messaging, building batch file processing for custodian feeds or EOD reconciliation, i… - [Financial Planning Integration](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-financial-planning-integration) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-financial-planning-integration` Integrate financial planning engines with the advisor technology stack — data flows between planning tools, CRM, PMS, custodians, and aggregation platforms; capital market assumption (CMA) governance and synchronization; plan-to-IPS-to-model linkage; and governed tax reference parameters in planning tools. Use when the user asks about connecting eMoney, MoneyGuidePro, or RightCapital to CRM or po… - [Sales Practices](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-sales-practices) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-sales-practices` Identify and prevent sales practice violations under FINRA and SEC rules governing broker-dealer conduct. Use when the user asks about churning or excessive trading metrics, mutual fund breakpoint discounts, selling away or private securities transactions, outside business activities, unauthorized trading, supervisory procedure design, senior investor protections, trusted contact persons, variabl… - [Fee Disclosure](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-fee-disclosure) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-fee-disclosure` Evaluate whether the substance of fee and cost disclosures is complete, accurate, and not misleading across advisory, brokerage, fund, and retirement plan contexts. Use when the user asks whether Form ADV Item 5 fee content is adequate, prospectus fee table format, Reg BI cost disclosure content, 12b-1 fee transparency, revenue sharing arrangements, wrap fee program cost-effectiveness, or ERISA 4… - [Counterparty Risk](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-counterparty-risk) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-counterparty-risk` Guide counterparty credit risk measurement and management for OTC and securities trading, organized around three workflows: assessing a new counterparty, responding to a credit-deterioration event, and executing a default close-out. Use when measuring current or potential future exposure to a counterparty, setting or reviewing counterparty credit limits, evaluating ISDA Master Agreement netting a… - [Corporate Actions](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-corporate-actions) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-corporate-actions` Process and manage corporate actions from announcement through settlement. Use when handling dividends, stock splits, reverse splits, mergers, or spin-offs, managing voluntary elections for tender offers, rights offerings, or exchange offers, calculating record date and ex-date entitlements under T+1 settlement, collecting and submitting elections to DTC or custodians, handling fractional shares… - [Investment Suitability](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-investment-suitability) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-investment-suitability` Assess investment suitability obligations under FINRA Rules 2111 and 2090 across all three suitability prongs. Use when the user asks about reasonable-basis, customer-specific, or quantitative suitability, product-specific concerns for complex products, leveraged ETFs, variable annuities, or alternatives, household-level suitability and concentration analysis, hold recommendations, or the institu… - [Conflicts Of Interest](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-conflicts-of-interest) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-conflicts-of-interest` Identify, disclose, and mitigate conflicts of interest in advisory and brokerage relationships under Reg BI and fiduciary duty. Use when the user asks about compensation-based conflicts, proprietary product incentives, revenue sharing disclosure, principal trading consent, soft dollar arrangements, pay-to-play restrictions, gifts and entertainment limits, personal trading policies, or code of eth… - [Stp Automation](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-stp-automation) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-stp-automation` Measure and raise straight-through processing (STP) rates in securities operations through zero-touch, exception-based processing. Use when measuring STP rates and analyzing manual touchpoints in an existing process, replacing review-all workflows with exception-based processing, evaluating RPA vs API-based vs hybrid automation for legacy systems, building exception queuing, categorization, and a… - [Regulatory Reporting](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-regulatory-reporting) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-regulatory-reporting` Guide regulatory filing mechanics and deadlines for investment advisers, broker-dealers, and large traders — which forms to file, where, and by when. Use when the user asks about Form PF filing thresholds, 13F institutional holdings reports, 13H large trader filings, Form ADV amendment filing timing (including the annual updating amendment filed via IARD), FOCUS report preparation, blue sheet req… - [Gips Compliance](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-gips-compliance) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-gips-compliance` Ensure firms claiming GIPS compliance under the CFA Institute Global Investment Performance Standards satisfy requirements for composite construction, performance calculation, presentation, and verification. Use when the user asks about building composites, time-weighted return calculation under GIPS, GIPS Reports and pooled fund reports, error correction policies, wrap fee or SMA program perform… - [Client Reporting Delivery](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-client-reporting-delivery) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-client-reporting-delivery` Design, generate, and deliver client performance reports across all channels, covering quarterly reports, tax reporting, portal integration, and compliance review. Use when the user asks about building or redesigning report templates, choosing what to include in quarterly or annual client reports, transitioning from print to digital delivery, integrating a client portal, presenting net-of-fee per… - [Account Opening Compliance](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-account-opening-compliance) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-account-opening-compliance` Embed compliance controls into account opening and verify regulatory readiness. Use when designing CIP/KYC identity verification gates, implementing OFAC and sanctions screening at onboarding, collecting beneficial ownership certification for entity or trust accounts, building risk-based approval tiers that route applications by risk level, defining compliance screening requirements and exception… - [Examination Readiness](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-examination-readiness) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-examination-readiness` Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle. Use when the user asks about exam notification letters, document request lists, deficiency letter responses, mock examination programs, annual compliance reviews under Rule 206(4)-7, or SEC/FINRA examination priorities. Also trigger when users mention 'we just got an exam letter', 'preparing for our f… - [Order Lifecycle](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-order-lifecycle) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-order-lifecycle` Guide the design and implementation of order lifecycle management in trading systems. Owns FIX application-layer message flows (NewOrderSingle, ExecutionReport, cancel/replace) and order state. Use when building an order state machine for an OMS or EMS, handling cancel/replace race conditions, defining pre-submission validation rules (buying power, position limits, restricted lists), selecting or… - [Account Opening Workflow](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-account-opening-workflow) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-account-opening-workflow` Design and operate back-office account opening pipelines from application intake through custodian submission and activation. Use when building account opening automation, reducing NIGO rejection rates from custodians or clearing firms, defining document requirements for trusts, entities, IRAs, or estate accounts, setting up multi-custodian account opening across Schwab, Fidelity, or Pershing, tr… - [Reconciliation](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-reconciliation) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-reconciliation` Design and operate reconciliation processes across portfolio management, custodian, and clearing systems. Use when building a daily position, cash, or transaction reconciliation process, investigating discrepancies between internal records and custodian records, diagnosing recurring break patterns from corporate actions or pricing differences, setting tolerance thresholds for position, cash, or m… - [Time Value Of Money](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-time-value-of-money) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-time-value-of-money` Calculate present value, future value, NPV, IRR for projects and loans, loan payments, and amortization schedules across all compounding conventions. Use when the user asks about discounting cash flows, valuing an annuity or perpetuity, comparing investments with different timing, building a mortgage amortization table, evaluating whether a project is worth pursuing, or solving for the rate that… - [Market Data](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-market-data) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-market-data` Design and manage market data infrastructure — real-time and delayed feeds, Level 1/2/3 depth, consolidated tape vs direct feeds, vendor selection, licensing, and distribution architecture. Use when choosing between real-time and delayed data, evaluating market data vendors like Bloomberg or Refinitiv, designing ticker plants or fan-out architecture, managing exchange data licensing and entitleme… - [Know Your Customer](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-know-your-customer) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-know-your-customer` Guide customer onboarding identification, due diligence, and profile maintenance under FINRA Rule 2090, the CIP rules, and the FinCEN CDD Rule. Use when the user asks about onboarding identity verification, beneficial ownership collection for entity accounts, enhanced due diligence for PEPs or high-risk customers at account opening, assigning the initial customer risk rating, KYC refresh triggers… - [Financial Planning Workflow](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-financial-planning-workflow) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-financial-planning-workflow` Orchestrate the advisor workflow for assembling and delivering a comprehensive financial plan — data gathering, cash flow analysis, retirement modeling, Monte Carlo analysis, Roth conversion and withdrawal sequencing, Social Security claiming strategy, education and estate goals, scenario modeling, and prioritized recommendations. Use when the user asks about building a financial plan, structurin… - [Operational Risk](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-operational-risk) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-operational-risk` Guide identification, measurement, and management of operational risk in trading and brokerage operations. Use when designing trade error detection and correction procedures, investigating trade breaks and reconciliation failures, classifying loss events under Basel taxonomy, developing key risk indicators (KRIs) and dashboards, responding to system outages or data feed failures or order routing… - [Advice Standards](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-advice-standards) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-advice-standards` Determine when a product, platform, or communication crosses the regulatory line from education into investment advice requiring investment adviser registration. Use when the user asks about the definition of investment advice under Advisers Act Section 202(a)(11), whether a fintech feature or AI chatbot constitutes advice, the publisher's exclusion for newsletters or model portfolios, the broker… - [Post Trade Compliance](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-post-trade-compliance) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-post-trade-compliance` Guide post-trade compliance monitoring and trade surveillance system design. Use when building alert logic to detect churning, front-running, cherry-picking, layering, spoofing, wash trading, or marking the close, implementing post-trade best execution review, evaluating allocation fairness with pro-rata verification or dispersion analysis, designing exception-based monitoring workflows with esca… - [Client Review Prep](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-client-review-prep) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-client-review-prep` Prepare advisors for client review meetings by assembling context packages, performance summaries, drift analysis, talking points, and meeting agendas. Use when the user asks about preparing for a client review, building a pre-meeting checklist, generating talking points for an upcoming meeting, identifying allocation drift before a review, automating review prep workflows, or assembling a meetin… - [Proposal Generation](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-proposal-generation) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-proposal-generation` Generate end-to-end investment proposals covering risk profiling, model portfolio recommendation, fee illustration, projections, and compliance review. Use when the user asks about creating a proposal for a prospect, mapping risk questionnaire scores to model portfolios, building fee illustrations with tiered costs, producing Monte Carlo or scenario projections, analyzing a prospect's current por… - [Advertising Compliance](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-advertising-compliance) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-advertising-compliance` Ensure investment advertising and marketing materials comply with SEC Marketing Rule and FINRA Rule 2210. Use when the user asks about performance advertising, showing backtested or hypothetical returns, net vs gross performance presentation, client testimonials or endorsements in marketing, social media posts by advisers or reps, third-party ratings in pitchbooks, or advertising recordkeeping. A… - [Return Calculations](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-return-calculations) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-return-calculations` Compute and compare investment return metrics including TWR, MWR (dollar-weighted IRR on portfolio cash flows), CAGR, and annualized returns. Use when the user asks about portfolio performance calculation, comparing manager returns, linking sub-period returns, understanding why different return methods give different numbers, converting returns across time periods, or computing the IRR of an inve… - [Advisor Dashboards](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-advisor-dashboards) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-advisor-dashboards` Design, build, and optimize dashboards for RIA practice management with AUM tracking, revenue analytics, and KPI frameworks. Use when the user asks about tracking firm-level metrics, monitoring advisor productivity, measuring organic growth rate, analyzing client retention and attrition, building executive or branch manager views, setting up exception alerts for NIGO and operational items, benchm… - [Client Disclosures](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-client-disclosures) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-client-disclosures` Guide which client disclosure documents must exist, what each must contain, and when and how they must be delivered to clients of investment advisers and broker-dealers. Use when the user asks about Form ADV Part 2A or 2B content, Form CRS content and delivery, prospectus delivery obligations, privacy notice delivery, trade confirmation timing, account statement distribution, electronic vs paper… - [Crm Client Lifecycle](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-crm-client-lifecycle) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-crm-client-lifecycle` Design and optimize CRM systems and client lifecycle workflows for advisory firms, covering segmentation, household management, service tiers, and retention analytics. Use when the user asks about client segmentation models, building household structures, defining service tier SLAs, scheduling reviews, tracking lifecycle stages from prospect through estate, identifying at-risk clients, analyzing… - [Portfolio Management Systems](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-portfolio-management-systems) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-portfolio-management-systems` Select, configure, and operate portfolio management systems for advisory firms, covering model portfolios, UMA/sleeve management, drift monitoring, rebalancing, and custodian data feeds. Use when the user asks about choosing a PMS platform, building or distributing model portfolios, implementing UMA or sleeve-based management, setting drift monitoring thresholds, aggregating held-away assets, rec… - [Margin Operations](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-margin-operations) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-margin-operations` Guide margin lending, margin requirements, and margin call operations for brokerage and advisory accounts. Use when calculating Reg T initial margin or buying power, determining maintenance margin or house requirements, evaluating portfolio margin eligibility under OCC TIMS, generating or resolving margin calls (fed call, house call, exchange call, day-trade call), designing forced liquidation wa… - [Data Quality](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-data-quality) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-data-quality` Design and operate data quality programs for financial data — validation rules, pricing validation, data lineage, exception management, profiling, and governance. Use when building validation rules for pricing or client data pipelines, detecting stale prices, designing a data quality monitoring framework, calibrating validation thresholds, implementing data lineage for BCBS 239 or MiFID II, inves… - [Reference Data](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-reference-data) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-reference-data` Design and manage reference data systems — security master, client master, account master, identifier mapping, pricing data sources, golden source designation, and governance. Use when building or evaluating a security master database, mapping identifiers across systems (CUSIP to ISIN, SEDOL to FIGI), designing client master models for onboarding or KYC, defining account master attributes across… - [Next Best Action](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-next-best-action) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-next-best-action` Design and implement next-best-action engines that surface proactive, prioritized recommendations to advisors based on portfolio, life, market, and compliance events. Use when the user asks about building event-driven advisor alerts, designing trigger logic for portfolio drift or large cash movements, prioritizing competing actions across a book of business, routing NBA recommendations to the rig… - [Fee Billing](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-fee-billing) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-fee-billing` Build and manage advisory fee billing operations from fee schedule design through calculation, collection, revenue recognition, and compliance disclosure. Use when the user asks about tiered or breakpoint fee schedules, billing cycle configuration, AUM valuation for billing, direct-debit vs invoice collection, GAAP revenue recognition for fees, ADV Part 2A or Reg BI fee disclosure, diagnosing bil… - [Anti Money Laundering](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-anti-money-laundering) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-anti-money-laundering` Guide BSA/AML compliance program design, ongoing transaction monitoring, and FinCEN reporting for broker-dealers, banks, and investment advisers. Use when the user asks about suspicious activity reports, currency transaction reports, OFAC screening, structuring detection, ongoing risk-rating reviews and escalation, or FinCEN requirements. Also trigger when users mention 'large cash deposit', 'san… - [Pre Trade Compliance](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-pre-trade-compliance) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-pre-trade-compliance` Guide the design and implementation of automated pre-trade compliance systems that validate orders before execution. Use when building a compliance rule engine for an RIA or broker-dealer, configuring hard blocks and soft blocks, maintaining restricted and watch lists including MNPI-driven restrictions, setting concentration limits at security/sector/issuer level, implementing position limits or… - [Books And Records](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-books-and-records) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-books-and-records` Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2. Use when the user asks about document retention schedules, how long to keep trade records or customer complaints, WORM storage requirements, email or text message archiving, social media capture, BYOD compliance policies, or electronic storage audit trails. Also trigger when users mention 'we got a… - [Account Maintenance](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-account-maintenance) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-account-maintenance` Process account maintenance requests across the account lifecycle. Use when changing a client address or contact info with identity verification, updating beneficiary designations after marriage, divorce, birth, or death, re-registering or re-titling an account to a trust or new entity, selecting tax lot methods or fixing cost basis records, applying legal or compliance holds or Reg T freezes, se… - [Order Management Advisor](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-order-management-advisor) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-order-management-advisor` Manage the advisor trade lifecycle from order entry through settlement, covering block trading, allocation, pre-trade compliance, custodian routing, and error correction. Use when the user asks about designing an OMS for an RIA, executing model portfolio changes across many accounts, structuring block trades with fair allocation, configuring pre-trade compliance rules or restricted lists, routing… - [Exchange Connectivity](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-exchange-connectivity) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-exchange-connectivity` Guide the design and management of trading venue connectivity and market data infrastructure. Owns the FIX session layer (logon, heartbeats, sequence number gaps, resend and gap recovery, disconnects). Use when building or troubleshooting FIX sessions for order routing or drop copy, integrating exchange protocols like OUCH, ITCH, PITCH, or Pillar, designing market data feed architecture (consolid… - [Privacy Data Security](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-privacy-data-security) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-privacy-data-security` Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations. Use when the user asks about privacy notices, the Safeguards Rule, identity theft prevention programs, breach notification obligations, vendor security due diligence, incident response planning, data classification, or state privacy law compliance. Also trigg… - [Fiduciary Standards](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-fiduciary-standards) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-fiduciary-standards` Apply the investment adviser fiduciary duty (IA Act Section 206), ERISA fiduciary standards, the DOL fiduciary rule and PTE 2020-02, and state fiduciary rules. Use when the user asks whether a fiduciary standard applies, what the duty of care and duty of loyalty require of an adviser, ERISA Section 404 prudent expert obligations, PTE 2020-02 rollover exemption conditions, DOL fiduciary rulemaking… - [Statistics Fundamentals](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-statistics-fundamentals) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-statistics-fundamentals` Apply statistical methods to financial data including descriptive statistics, covariance estimation, regression, hypothesis testing, and resampling. Use when the user asks about return distributions, correlation between assets, building a covariance matrix, running a CAPM regression, testing whether alpha is significant, checking if returns are normal, or estimating confidence intervals. Also tri… - [Reg Bi](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-reg-bi) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-reg-bi` Analyze the broker-dealer standard of conduct under SEC Regulation Best Interest's four obligations: Disclosure, Care, Conflict of Interest, and Compliance. Owns what triggers a 'recommendation' under Reg BI and the canonical comparison of Reg BI vs FINRA suitability vs IA fiduciary duty. Use when the user asks whether a broker-dealer recommendation satisfies Reg BI, how to evaluate reasonably av… - [Account Transfers](https://agentstack.voostack.com/l/skill-joellewis-finance-skills-account-transfers) — Skill · Free · security-reviewed — `agentstack add skill-joellewis-finance-skills-account-transfers` Process and manage account transfers between and within financial institutions. Use when handling full or partial ACAT transfers between broker-dealers, troubleshooting ACAT rejection codes or FINRA Rule 11870 timelines, setting up non-ACAT transfers (Fund/SERV, DTC free delivery, physical certificates), processing internal journal entries, handling retirement rollovers or Roth conversions with p… --- Seller on AgentStack — the marketplace for AI agent skills and MCP servers. Every listing is security-reviewed. Install any with `agentstack add `.