pp-finra

FINRA — Printing Press CLI

Prerequisites: Install the CLI

This skill drives the finra-pp-cli binary. You must verify the CLI is installed before invoking any command from this skill. If it is missing, install it first:

Install via the Printing Press installer. It defaults binaries to $HOME/.local/bin on macOS/Linux and %LOCALAPPDATA%\Programs\PrintingPress\bin on Windows:
```
npx -y @mvanhorn/printing-press-library install finra --cli-only
```
Verify: finra-pp-cli --version
Ensure the reported install directory is on $PATH for the agent/runtime that will invoke this skill.

If the npx install fails (no Node, offline, etc.), fall back to a direct Go install (requires Go 1.26.6 or newer). This installs into $GOPATH/bin (default $HOME/go/bin), so add that directory to $PATH instead:

go install github.com/mvanhorn/printing-press-library/library/other/finra/cmd/finra-pp-cli@latest

If --version reports "command not found" after install, the runtime cannot see the binary directory on $PATH. Do not proceed with skill commands until verification succeeds.

FINRA CLI treats the entire ~35-dataset Query API catalog as a live-discoverable surface instead of a hand-curated list, then layers offline SQLite history on top so Reg SHO escalation streaks, TRACE liquidity trends, and 4530 complaint surges become one-command answers instead of manual CSV diffing.

When to Use This CLI

Use this CLI for FINRA Query API data pulls (equity, fixed income, registration/licensing), compliance monitoring rituals (Reg SHO threshold tracking, 4530 complaint surges), and batch CRD validation before filing submissions.

Anti-triggers

Do not use this CLI for:

Do not use this CLI to submit U4/U5/BR registration filings — Submission API payload schemas are not publicly documented and are not implemented.
Do not use this CLI for FileX bulk file transfers — that is SFTP/HTTPS/S3 infrastructure outside this CLI's scope.
Do not use this CLI for real-time push notifications — FINRA's Notification API is poll-based, not a webhook system.

Unique Capabilities

These capabilities aren't available in any other tool for this API.

Local state that compounds

regsho threshold-watch — See which symbols just crossed the Reg SHO 5-day threshold escalation point before it triggers a mandatory close-out.

Pick this over a raw threshold-list pull when you need to know how many consecutive days a symbol has been flagged, not just whether it's flagged today.
```
finra-pp-cli regsho threshold-watch --symbol GME --json
```
complaints new — See 4530 customer complaint filings for a firm within a recent time window, without re-reading the full history.

Use this for a quick recent-activity check; use complaints list for the full history or a custom date range.
```
finra-pp-cli complaints new --firm 19847 --since 7d --json
```
fixedincome health — One snapshot report joining TRACE, Corporate/Agency Debt Market Breadth, and Corporate/Agency Debt Market Sentiment for a time window.

Use this for a single fixed-income market-condition snapshot instead of four separate dataset pulls stitched together by hand.
```
finra-pp-cli fixedincome health --since 7d --json
```
trace liquidity — Month-over-month trend in TRACE Monthly Volume trade count and volume for a product category (or market-wide if no category given).

Use this for a month-over-month volume/trade-count trend for a product category; use 'trace search' for raw monthly aggregate records instead.
```
finra-pp-cli trace liquidity --sub-product CORP --since 180d --json
```
registration timeline — Full chronological registration-status history for one person, joining Composite Individual, Firm Registration Status History, and Individual Delta records.

Use this to see how a rep's registration status changed over time; use 'registration individual --crd' for just the current snapshot.
```
finra-pp-cli registration timeline --crd 1234567 --json
```

Agent-native plumbing

registration validate-batch — Validate many CRDs from a file in one call instead of checking them one at a time.

Use this before submitting a batch of registration filings to confirm every CRD is currently valid.
```
finra-pp-cli registration validate-batch --file crds.csv --json
```

Command Reference

async — Poll async job status and results for bulk data extracts

finra-pp-cli async <group> <name> <requestId> — Poll the status and results of an async data request

catalog — Discover available FINRA datasets and their capabilities

finra-pp-cli catalog — List all available datasets, optionally filtered by group or name

data — Query FINRA dataset records (equity, fixed income, registration, firm, and content datasets)

finra-pp-cli data get — Get a single dataset record by its primary ID (only for datasets where supportsGetById is true — check via 'catalog')
finra-pp-cli data list — List/filter dataset records via query parameters
finra-pp-cli data query — Filter dataset records via a JSON request body (richer filtering than 'data list')

metadata — Inspect field-level schema and partition fields for a dataset

finra-pp-cli metadata <group> <name> — Get field list, types, and partition fields for a dataset

partitions — List available partition values (typically dates) for incremental sync

finra-pp-cli partitions <group> <name> — List available partition values for a dataset, used for incremental sync

Finding the right command

When you know what you want to do but not which command does it, ask the CLI directly:

finra-pp-cli which "<capability in your own words>"

which resolves a natural-language capability query to the best matching command from this CLI's curated feature index. Exit code 0 means at least one match; exit code 2 means no confident match — fall back to --help or use a narrower query.

Recipes

Track a symbol's Reg SHO escalation

finra-pp-cli regsho threshold-watch --symbol GME --json --select symbol,consecutive_days,escalated

Narrow the streak-tracker output to just the fields that matter for a compliance check.

Fixed-income market snapshot

finra-pp-cli fixedincome health --since 7d --json

One command replaces four separate dataset pulls (TRACE, breadth, sentiment) stitched together by hand.

Recent complaint filings for a firm

finra-pp-cli complaints new --firm 19847 --since 7d --json

Filters 4530 filings to a recent window instead of scanning the full history.

Bulk-validate CRDs before a filing batch

finra-pp-cli registration validate-batch --file crds.csv --json

Turns N one-at-a-time CRD lookups into a single batch call.

TRACE monthly volume trend for a product category

finra-pp-cli trace liquidity --sub-product CORP --since 180d --json --select sub_product,liquidity_trend,avg_trades_per_month

Pairs --json with --select to keep agent output small for a deeply nested trend response.

Auth Setup

FINRA uses OAuth2 client_credentials: your API Client ID and Client Secret (from the FINRA API Console) are exchanged for a short-lived Bearer token. Set FINRA_CLIENT_ID and FINRA_CLIENT_SECRET, then run 'finra-pp-cli auth login' to fetch and cache a token — it refreshes automatically before expiry.

Run finra-pp-cli doctor to verify setup.

Agent Mode

Add --agent to any command. Expands to: --json --compact --no-input --no-color --yes.

Pipeable — JSON on stdout, errors on stderr
Filterable — --select keeps a subset of fields. Dotted paths descend into nested structures; arrays traverse element-wise. Critical for keeping context small on verbose APIs:
```
finra-pp-cli async OTCMARKET REGSHODAILY req-12345 --agent --select id,name,status
```
Previewable — --dry-run shows the request without sending
Offline-friendly — sync/search commands can use the local SQLite store when available
Non-interactive — never prompts, every input is a flag
Read-only — do not use this CLI for create, update, delete, publish, comment, upvote, invite, order, send, or other mutating requests

Response envelope

Commands that read from the local store or the API wrap output in a provenance envelope:

{
  "meta": {"source": "live" | "local", "synced_at": "...", "reason": "..."},
  "results": <data>
}

Parse .results for data and .meta.source to know whether it's live or local. A human-readable N results (live) summary is printed to stderr only when stdout is a terminal AND no machine-format flag (--json, --csv, --compact, --quiet, --plain, --select) is set — piped/agent consumers and explicit-format runs get pure JSON on stdout.

Paths and state

Agents should treat the CLI's path resolver as part of the runtime contract:

Use --home <dir> for one invocation, or set FINRA_HOME=<dir> to relocate all four path kinds under one root.
Use per-kind env vars only when a specific kind must diverge: FINRA_CONFIG_DIR, FINRA_DATA_DIR, FINRA_STATE_DIR, FINRA_CACHE_DIR.
Resolution order is per-kind env var, --home, FINRA_HOME, XDG (XDG_CONFIG_HOME, XDG_DATA_HOME, XDG_STATE_HOME, XDG_CACHE_HOME), then platform defaults.
config contains settings like config.toml and profiles. data contains credentials.toml, data.db, cookies, and auth sidecars. state contains persisted queries, jobs, and teach.log. cache contains regenerable HTTP/cache files.
Stored secrets live in credentials.toml under the data dir. Existing legacy config.toml secrets are read for compatibility and leave config.toml on the first auth write.
Run finra-pp-cli doctor --fail-on warn to surface path and credential-location warnings. agent-context exposes a schema v4 paths block for agents that need the resolved dirs.

For MCP, pass relocation through the MCP host config. The MCP binary does not inherit CLI flags:

{
  "mcpServers": {
    "finra": {
      "command": "finra-pp-mcp",
      "env": {
        "FINRA_HOME": "/srv/finra"
      }
    }
  }
}

Fleet precedence: an inherited per-kind env var overrides an explicit --home for that kind. Use FINRA_HOME or per-kind vars as durable fleet levers, and use --home only for a single invocation. Relocation is not reversible by unsetting env vars; move files manually before clearing FINRA_HOME, or doctor will not find credentials left under the former root.

Agent Feedback

When you (or the agent) notice something off about this CLI, record it:

finra-pp-cli feedback "the --since flag is inclusive but docs say exclusive"
finra-pp-cli feedback --stdin < notes.txt
finra-pp-cli feedback list --json --limit 10

Entries are stored locally as feedback.jsonl under the resolved data dir. They are never POSTed unless FINRA_FEEDBACK_ENDPOINT is set AND either --send is passed or FINRA_FEEDBACK_AUTO_SEND=true. Default behavior is local-only.

Write what surprised you, not a bug report. Short, specific, one line: that is the part that compounds.

Output Delivery

Every command accepts --deliver <sink>. The output goes to the named sink in addition to (or instead of) stdout, so agents can route command results without hand-piping. Three sinks are supported:

Sink	Effect
`stdout`	Default; write to stdout only
`file:<path>`	Atomically write output to `<path>` (tmp + rename)
`webhook:<url>`	POST the output body to the URL (`application/json` or `application/x-ndjson` when `--compact`)

Unknown schemes are refused with a structured error naming the supported set. Webhook failures return non-zero and log the URL + HTTP status on stderr.

Named Profiles

A profile is a saved set of flag values, reused across invocations. Use it when a scheduled agent calls the same command every run with the same configuration - HeyGen's "Beacon" pattern.

finra-pp-cli profile save briefing --json
finra-pp-cli --profile briefing async OTCMARKET REGSHODAILY req-12345
finra-pp-cli profile list --json
finra-pp-cli profile show briefing
finra-pp-cli profile delete briefing --yes

Explicit flags always win over profile values; profile values win over defaults. agent-context lists all available profiles under available_profiles so introspecting agents discover them at runtime.

Exit Codes

Code	Meaning
0	Success
2	Usage error (wrong arguments)
3	Resource not found
4	Authentication required
5	API error (upstream issue)
7	Rate limited (wait and retry)
10	Config error

Argument Parsing

Parse $ARGUMENTS:

Empty, help, or --help → show finra-pp-cli --help output
Starts with install → ends with mcp → MCP installation; otherwise → see Prerequisites above
Anything else → Direct Use (execute as CLI command with --agent)

MCP Server Installation

Install the MCP server:

go install github.com/mvanhorn/printing-press-library/library/other/finra/cmd/finra-pp-mcp@latest

claude mcp add finra-pp-mcp -- finra-pp-mcp

Verify: claude mcp list

Direct Use

Check if installed: which finra-pp-cli If not found, offer to install (see Prerequisites at the top of this skill).
Match the user query to the best command from the Unique Capabilities and Command Reference above.

Execute with the --agent flag:

finra-pp-cli <command> [subcommand] [args] --agent

If ambiguous, drill into subcommand help: finra-pp-cli <command> --help.