Regulatory Filings Reviewer
Audit regulatory filings for compliance gaps and disclosure completeness
What You Can Do
You can analyze complex regulatory filings (SEC, FINRA, state-level) to identify compliance gaps, verify disclosure completeness, and validate adherence to specific filing requirements. The skill evaluates documents against applicable regulations, highlights missing disclosures, and prioritizes risks by regulatory severity. You get a structured compliance assessment with actionable remediation items.
Features
Identifies specific regulatory requirements not addressed in your filing and flags missing certifications or attestations.
Evaluates whether all required disclosures are present, complete, and materially accurate against regulatory standards.
Validates that your filing structure, format, and content align with applicable SEC, FINRA, or state regulatory filing rules.
Ranks compliance issues by regulatory severity and financial exposure so your team addresses critical gaps first.
Checks internal consistency across sections, schedules, and exhibits to catch contradictory or conflicting statements.
Confirms proper organization, section numbering, exhibit formatting, and submission metadata match filing standards.
Links each filing element back to the specific regulation or guidance it satisfies for audit trail documentation.
Example Output
Compliance Gap Report for 10-K Filing
High Priority Gaps (Regulatory Risk):
- MD&A Section: Climate risk disclosure incomplete per SEC climate disclosure rule (missing Scope 1/2 emissions targets)
- Item 1A: Risk factors don't address supply chain concentration risk for two major suppliers
Medium Priority:
- Executive compensation table: Missing peer group disclosure required by CD&A
- Audit committee charter: Not attached as Exhibit 14.1
Risk Score: 6.2/10 — Recommend remediation before filing submission.
Disclosure Checklist Status
✓ Auditor attestation included | ✗ Tax reconciliation missing | ✓ Officer certifications signed | ✗ Acquisition pro forma financial statements incomplete | ✓ Related party transaction disclosures present
What's Included
- Compliance Gap Report: Structured assessment of missing or incomplete regulatory requirements with severity ratings.
- Disclosure Completeness Checklist: Item-by-item verification against applicable regulatory disclosure standards.
- Risk Prioritization Matrix: Gaps ranked by regulatory severity, financial exposure, and enforcement likelihood.
- Filing Structure Audit: Validation of document format, section organization, exhibits, and metadata compliance.
- Remediation Action Plan: Specific steps to close each gap with estimated effort and regulatory justification.
- Regulatory Cross-Reference Guide: Maps each filing section to applicable regulations (CFR, SEC guidance, stock exchange rules).
Who It's For
- Compliance Officers
- General Counsel & Legal Teams
- Regulatory Affairs Specialists
- Internal/External Audit Teams
- CFO & Finance Leadership
Best For
- SEC filing review (10-K, 10-Q, 8-K, S-1, proxy statements)
- FINRA compliance audit and Form 4530 review
- Pre-submission filing completeness validation
- Annual disclosure audit and governance assessment
- Regulatory readiness testing before enforcement audits
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