of 5— Set up your research context

What you'll accomplish

You'll have Claude set up as your personal regulatory research assistant — able to explain FINRA rules, FinCEN requirements, SEC notices, and DTCC circulars in plain language, and produce team-ready summaries in minutes instead of hours.

What you'll need

A Claude account at claude.ai (free tier works for most use cases)
The regulatory notices or rule texts you need to research (PDF, copy-paste text, or links to finra.org, sec.gov, dtcc.com)
Time needed: 20 minutes to learn; 5–15 minutes per research task
Cost: Free (Claude free tier)

How-To Guide: Use Claude to Research and Summarize Regulatory Requirements

Step 1: Set up your research context

Start a new Claude chat with a brief setup message so it understands your role:

Copy and paste this

I'm a financial operations specialist at a broker-dealer. I need help understanding regulatory requirements and summarizing compliance notices. I'll paste regulatory text and ask questions about it. Please explain things in plain language without legal jargon, and focus on what it means for back-office operations teams.

Claude will confirm it's ready.