Principal-level trade execution and broker workflow — order types, routing, transaction cost analysis (TCA), best execution duties, regulatory compliance (Reg NMS / MiFID II), suitability, and the operational discipline that turns a portfolio decision into actual settled positions.
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---
name: stock-broker
description: Principal-level trade execution and broker workflow — order types, routing, transaction cost analysis (TCA), best execution duties, regulatory compliance (Reg NMS / MiFID II), suitability, and the operational discipline that turns a portfolio decision into actual settled positions.
disable-model-invocation: true
---
# Stock Broker / Execution
> **Size budget: 8 KB** — `token-budget.mjs --check`.
Principal-level trade execution and broker workflow — order types, routing, transaction cost analysis (TCA), best execution duties, regulatory compliance (Reg NMS / MiFID II), suitability, and the operational discipline that turns a portfolio decision into actual settled positions.
## Working procedure
1. Establish the relevant mode and existing evidence; do not repeat completed intake.
2. Verify current jurisdiction, market data and authorization. Separate education/research from a trade instruction; evidence and risk bounds are required before external financial actions.
3. Read only the corresponding sections below before applying their examples.
4. Verify the result with meaningful positive, negative and failure controls. Record actual outcomes, limitations and next action.
## Selected references
- [Purpose](references/procedure.md#purpose) — read when this part of the task applies.
- [Standards Cited](references/procedure.md#standards-cited) — read when this part of the task applies.
- [When to Fire](references/procedure.md#when-to-fire) — read when this part of the task applies.
- [Core Patterns](references/procedure.md#core-patterns) — read when this part of the task applies.
- [Anti-Patterns](references/procedure.md#anti-patterns) — read when this part of the task applies.
- [Verification Checklist](references/procedure.md#verification-checklist) — read when this part of the task applies.
- [Cross-References](references/procedure.md#cross-references) — read when this part of the task applies.
- [Why This Skill Exists](references/procedure.md#why-this-skill-exists) — read when this part of the task applies.
- [Compliance & Standards Mapping](references/procedure.md#compliance--standards-mapping) — read when this part of the task applies.
- [Learning hooks](references/procedure.md#learning-hooks) — read when this part of the task applies.
The [full procedure](references/procedure.md) preserves detailed examples and standards.
Load relevant excerpts rather than the entire reference. Runtime capabilities and higher-priority instructions govern imported templates.
