Security
4,732 results
- EquitiesjoellewisAnalyze equity securities, factor models, and equity portfolio construction. Use when the user asks about stocks, equity valuation ratios, index construction methods, or style analysis. Also trigger when users mention 'P/E ratio', 'growth vs value', 'market cap weighting', 'sector allocation', 'GICS classification', 'earnings per share', 'Fama-French factors', 'CAPM', 'dividend yield', 'PEG…
- Examination ReadinessjoellewisPrepare 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.
- Financial Planning IntegrationjoellewisIntegrate 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.
- Financial Planning WorkflowjoellewisOrchestrate 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.
- Fixed Income SovereignjoellewisAnalyze US Treasury securities and interest rate risk: bond pricing, yield curve construction, duration, convexity, TIPS, and forward/spot rate analysis. Use when the user asks about Treasury bonds, yield curve construction, interest rate risk, duration, convexity, TIPS, or breakeven inflation rates.
- Fixed Income StructuredjoellewisAnalyze structured fixed income products including mortgage-backed securities, asset-backed securities, and CLOs. Use when the user asks about MBS, ABS, CLOs, CDOs, prepayment risk, tranching, or waterfall structures.
- Fund VehiclesjoellewisCompare and select investment vehicles including mutual funds, ETFs, index funds, and separately managed accounts. Use when the user asks about ETF vs mutual fund, expense ratios, fund tax efficiency, ETF creation/redemption, tracking error, or share class comparisons.
- Margin OperationsjoellewisGuide 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…
- Order LifecyclejoellewisGuide 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…
- Order Management AdvisorjoellewisManage 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…
- Pre Trade CompliancejoellewisGuide 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…
- Privacy Data SecurityjoellewisDesign 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.
- Reference DatajoellewisDesign 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…
- Sales PracticesjoellewisIdentify 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…
- Stp AutomationjoellewisMeasure 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…
- Tax EfficiencyjoellewisMaximizes after-tax returns through strategic asset location, gain/loss management, and withdrawal sequencing. Use when the user asks about asset location, Roth conversions, tax-efficient withdrawals, tax lot selection, or charitable giving with appreciated securities.
- Tax Loss HarvestingjoellewisExecute a complete tax-loss harvesting workflow from candidate identification through post-harvest monitoring. Use when the user asks about finding TLH candidates, gain/loss budgeting, replacement security selection, wash-sale compliance, or harvest execution planning.
- Workflow AutomationjoellewisDesign 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…
- Sumeru Reviewxindoo小说逻辑/剧情审查，适用于用户说"帮我检查下小说有没有bug"、"看看时间线有没有矛盾"、"人物有没有OOC"、"找剧情前后冲突"、"梳理伏笔有没有回收"、"检查小说剧情合理性"、"看看有没有剧情漏洞"、"人物行为不符合性格"、"检查时间线对不对"、"找小说前后矛盾的地方"、"帮我梳理所有伏笔"、"小说剧情bug检查"、"逻辑漏洞排查"等需求，检测时间线冲突、逻辑漏洞、人物OOC、伏笔遗漏等问题，**执行字数检查确保章节字数达标**，**生成详细问题清单并自动修复所有问题，修复结果直接修改 chapters/ 目录，修改前自动备份到 .sumeru/write/original/**，**发现严重问题时自动修订大纲并重写对应章节**，**底线问题零遗漏机制确保所有致命问题必须解决**，**批量审查时使用子Agent并行处理，每个Agent最多负责3个章节**
- Paper Search ProO0000-codeFind academic papers across up to 8 sources (OpenAlex / Semantic Scholar / CrossRef / PubMed / arXiv for English, OpenReview for AI venues, plus native-Chinese retrieval via NSSD 国家哲社文献中心 + yiigle 中华医学期刊) with adjustable depth — Quick scan (5 min) to Audit prep (3 hr).
- Reimagine ItKazim MerchantContent-Derived Design — reads existing HTML and writes a stronger standalone page from headings, facts, names, dates, numbers, links, emails, and colors already in that file. CLI: npx reimagine-it --auto -i page.html -o out.html; also variations, lock, and audit.
- Reimagine It AuditKazim MerchantDesign Health — runs 19 deterministic quality checks on HTML output. Use when the user says /reimagine-it audit, "audit this page", "check design quality", or wants to verify craft-floor compliance before shipping. Catches blank plates, missing focus rings, non-compositor motion, off-palette accents, dead motion, fabricated content. No LLM, no API key. CI-ready with --json and exit codes.
- API Security ReviewowaspComprehensive API security review against OWASP API Security Top 10 (2023). Use when reviewing OpenAPI/Swagger specs, auditing REST/GraphQL/gRPC implementations, testing authentication mechanisms, or checking API gateway configurations. Covers BOLA/IDOR, broken auth, mass assignment, rate limiting, SSRF, and more with real-world attack scenarios.
- Web Security ReviewowaspReview web applications against the OWASP Top 10 for Web Applications (2021). Use when auditing web apps, reviewing server-side code, or assessing web frameworks for the classic OWASP Top 10 risks including injection, broken auth, and XSS.