[Compliance] Review by FINRA/SEC practitioner needed

[shreyas-lyzr]

Summary

We need domain expert review of gitagent compliance schema and audit features by practitioners with FINRA, SEC, or Federal Reserve compliance experience.

Context

gitagent includes first-class compliance support for financial regulations:

• FINRA Rules 3110, 4511, 2210, and Reg Notice 24-09
• Federal Reserve SR 11-7 and SR 23-4
• SEC Reg S-P and CFPB Circular 2022-03

The compliance schema in agent.yaml and the gitagent audit command were designed based on published regulatory guidance, but have not yet been validated by a practicing compliance professional.

What We Need

• Review of spec/schemas/ compliance fields for accuracy
• Validation that audit report output aligns with examination expectations
• Identification of missing requirements or misinterpretations
• Feedback on practical usability for compliance teams

Relevant Files

• spec/SPECIFICATION.md -- full spec
• spec/schemas/agent.schema.json -- JSON schema
• src/commands/audit.ts -- audit command
• examples/full/ -- production compliance example

Who Should Respond

If you work in financial services compliance, risk management, or regulatory technology, your input would be incredibly valuable.

[0xGaziin]

Hi @shreyas-lyzr! I've performed a technical review of the agent-yaml.schema.json and its compliance definitions. Based on the requirements for FINRA/SEC alignment, here are a few observations from a compliance-as-code perspective:
Technical Observations:

Recordkeeping (SEC 17a-4): The immutable: boolean flag is a great addition for WORM (Write Once, Read Many) requirements. However, adding a hash_algorithm field (e.g., SHA-256) to recordkeeping_config would be beneficial for auditors to validate data integrity during examinations.

Supervision (FINRA Rule 3110): While escalation_triggers are well-structured, I suggest adding a mandatory justification_required field. This would ensure that any human-in-the-loop override captures the necessary context for supervisory review.

Model Risk (SR 11-7): Regarding drift_detection, adding a drift_threshold (number) property would allow firms to define automated "kill-switch" alerts before a model's performance degrades beyond compliant levels.

I'm happy to help refine the JSON schema or contribute to the SPECIFICATION.md to clarify these points.