Legal

Regulations: 10 AI prompts for finance workflows

Use these Regulations prompts to move from a rough finance task to a clearer, copy-ready AI workflow.

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Copy-ready Regulations finance prompts

Universal Regulations Map for Any Market Activity

Universal template Medium

Builds a clear “regulatory map” for your country: who regulates what, which rulebooks matter, and what you must comply with for your exact investing/trading activity.

ID 81

Act as a financial regulation expert in United States. I want to do activity: investing/trading/derivatives/crypto/staking/FX/CFDs via crypto market. Create a regulatory map that covers: (1) main regulators and their roles, (2) which laws/rulebooks likely apply, (3) what is permitted vs restricted, (4) required investor protections/disclosures, and (5) a “compliance-ready” checklist for me as a user. Ask clarifying questions before concluding.

“Is This Product Legal Here?” Instrument Legality Checker

Medium

Helps users verify whether a specific financial product (options, futures, CFDs, margin, FX, tokenized stocks) is permitted for retail clients in their jurisdiction and under what conditions.

ID 82

Act as a cross-jurisdiction trading law analyst. In United States, is it legal for a retail investor to trade instrument: CFDs/options/futures/FX/margin/leveraged tokens/tokenized stocks? Explain: (1) the typical regulatory stance, (2) common restrictions (leverage caps, eligibility tests, approved venues, disclosures), (3) what brokers must be licensed for, and (4) what warning signs suggest an illegal offering. Provide a decision tree I can follow.

Broker/Exchange Licensing Verifier (Investor Due Diligence)

Medium

Creates a rigorous checklist to verify whether a broker/exchange is properly authorized for your country and what that authorization actually covers.

ID 83

Act as a regulator-grade due diligence analyst in United States. I’m considering using crypto market. Tell me how to verify if it is legally authorized to serve residents of United States for ETF portfolio. Provide: (1) what exact licenses/registrations to look for, (2) how to confirm authorization scope (products + client type), (3) what “passporting/overseas license” claims mean in practice, and (4) a red-flag list of regulatory arbitrage tactics.

Investor Protection & Compensation Scheme Explainer

Beginner

Clarifies what protections exist if a broker fails: segregation of client funds, compensation schemes, dispute channels, and what is not covered.

ID 84

Act as an investor protection specialist in United States. Explain what legal protections I have when using crypto market to trade ETF portfolio. Cover: client money segregation rules, custody/ownership concepts, compensation schemes (if any), dispute resolution and complaint routes, and what is typically NOT protected (e.g., market losses, fraud limitations). End with an “If the platform collapses, do this” action plan.

Short Selling, Borrowing, and Settlement Rules Decoder

Medium

Helps traders understand regulations around short selling, locate/borrow rules, settlement cycles, failures-to-deliver, and market integrity restrictions.

ID 85

Act as a market structure and trading rules expert in United States. Explain how short selling and settlement work for stocks/ETFs/crypto/perps on crypto market. Describe what rules typically apply (borrow/locate expectations, disclosure thresholds, settlement cycle, forced buy-ins, restrictions during volatility). Provide a compliance-minded checklist for a trader to avoid violations and operational blowups.

Leverage & Margin Regulatory Constraints Planner

Medium

Turns leverage rules into a practical plan: eligibility, risk warnings, margin calls, and how different jurisdictions cap leverage for retail clients.

ID 86

Act as a leverage and margin regulation specialist in United States. I want to trade instrument using leverage on platform. Explain typical regulatory constraints: retail leverage caps (if any), required risk disclosures, suitability/appropriateness tests, margin call and liquidation rules, and restrictions for certain client categories. Then create a “safe leverage policy” I can follow (max leverage, position sizing rules, liquidation buffer).

Crypto Asset Regulatory Classification Analyzer

Medium

Helps users assess how a crypto asset might be treated in their country (security/commodity/payment token/utility) and what that means for trading, listing, and disclosures.

ID 87

Act as a digital asset regulatory analyst in United States. Analyze how ETF portfolio might be classified under local regulation (e.g., security/commodity/payment token/utility/derivative). Ask me for key facts (issuer, promises, decentralization, marketing claims, yield/staking features). Then explain what the classification implies for: (1) who may offer/trade it, (2) disclosure/registration expectations, (3) platform licensing, and (4) enforcement risks.

Cross-Border Trading & “Which Law Applies?” Conflict-of-Laws Guide

Medium

Addresses a common real-world mess: you live in one country, use a platform in another, trade assets issued elsewhere.

ID 88

Act as a cross-border financial regulation expert. I am physically located in United States, legally resident in United States, and use a platform incorporated in United States to trade ETF portfolio. Explain which laws/regulators can realistically matter (consumer protection, securities/derivatives rules, sanctions constraints, marketing restrictions). Provide a conservative “lowest regulatory risk” pathway and a list of questions I should ask the platform before funding.

Regulatory Change Impact Simulator (New Rules, Same Strategy)

Medium

Helps investors adapt when rules change (e.g., leverage caps, bans on certain products, reporting obligations) without wrecking their strategy.

ID 89

Act as a regulatory change analyst in United States. A new rule/update occurred: describe change or paste summary. I currently use this strategy: describe. Analyze the impact on legality, platform access, and risk. Provide: (1) what must change immediately, (2) what can remain unchanged, (3) compliant alternatives to maintain similar exposure, and (4) an action checklist with deadlines and documentation to keep.

Enforcement & Complaint Pathway Builder (What If Something Goes Wrong?)

Pro

Gives investors a structured route for complaints, evidence collection, and escalation when a broker/exchange behaves unfairly or freezes funds.

ID 90

Act as a financial dispute-resolution and regulatory process expert in United States. I have an issue with crypto market: describe. Build a step-by-step escalation plan: (1) evidence to collect (statements, logs, tickets, transaction IDs), (2) how to file a formal complaint to the firm, (3) when/how to escalate to regulators or ombudsman/arbitration bodies, and (4) how to write a clear, fact-based complaint letter. Include a timeline and expected outcomes by stage.

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