SEC Filing Compliance Analyzer
Analyze SEC filings for compliance gaps, disclosure risks, and regulatory violations
What You Can Do
You can upload draft SEC filings and receive a detailed compliance audit that identifies disclosure gaps, narrative inconsistencies between MD&A and financial statements, materiality issues in risk factor statements, and potential regulatory red flags. The analyzer cross-references current GAAP standards and public company disclosure requirements to flag sections that may trigger SEC comment letters or restatement risk, helping you resolve issues before legal and audit review.
Features
identifies missing required disclosures under ASC 855, Topic 250, and Topic 740 that could trigger SEC comments
compares management discussion language against actual financial metrics to flag narrative contradictions and vague explanations
detects conflicts between internal control disclosures and management effectiveness statements that expose restatement risk
evaluates whether risk factor statements are properly grounded in company-specific facts vs. generic boilerplate language
flags inadequate disclosure of related-party relationships, transaction terms, and approval processes
ensures consistent application of revenue recognition policies and segment definitions across filings
assesses adequacy of going-concern disclosures and covenant compliance language
cross-references current SEC guidance and FASB standards to identify filing-specific compliance obligations
Example Output
Example 1: MD&A Inconsistency Flag
- Issue: MD&A states "stable operating margins" but gross margin declined 320 basis points year-over-year
- Risk: SEC may request clarification on margin trend characterization; investor reliance risk
- Recommendation: Revise MD&A to acknowledge margin compression and explain specific cost drivers
Example 2: Disclosure Gap
- Finding: Revenue recognition policy lacks disclosure of performance obligations related to multi-year service contracts
- Gap: ASC 606 requires explanation of timing mismatch between cash receipt and revenue recognition
- Action: Add 2-3 sentences in Critical Accounting Policies section describing contract term treatment
Example 3: Material Weakness Contradiction
- Conflict: Management Assessment states no material weaknesses, but 8-K disclosure (Item 4.02) references remediation of internal control deficiency
- Restatement Risk: High — triggers regulatory scrutiny and potential audit complexity
- Resolution: Align timing and scope language; confirm with audit committee before filing
What's Included
- SKILL.md instruction file: complete analyzer prompts and compliance framework
- SEC Compliance Checklist: 10-K/10-Q/8-K disclosure requirements by section (ASC, Topic, and FASB standard references)
- MD&A Audit Template: side-by-side comparison framework for narrative vs. financial statement alignment
- Risk Factor Materiality Scorecard: scoring rubric to assess whether risk disclosures are company-specific or generic boilerplate
- Disclosure Gap Reference Matrix: cross-indexed by filing type, industry sector, and accounting topic to identify commonly missed disclosures
Who It's For
- CFOs and VP Finance — managing SEC filing compliance and audit readiness for public companies
- Corporate Controllers — reviewing draft 10-K/10-Q sections for disclosure completeness before legal counsel and external auditors
- Accounting Directors — validating segment reporting, revenue recognition policies, and related-party transaction disclosures
- Financial Reporting Managers — conducting preliminary compliance audit on near-final filings to reduce SEC comment letter risk
- Board Audit Committee members — evaluating filing accuracy and regulatory compliance before formal board submission
Best For
- Pre-submission compliance audit of 10-K, 10-Q, and 8-K filings
- MD&A narrative-to-financial-statement consistency review
- Risk factor adequacy and materiality assessment
- Related-party transaction and contingency disclosure validation
- Going-concern liquidity and covenant compliance language review
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