document-review
Document Review examines financial documents—prospectuses, ADVs, and marketing materials—against FINRA 2210 communications rules and SEC disclosure standards. It flags misleading claims, verifies required disclaimers, and ensures balanced presentation of risks and benefits. The skill classifies document type, maps applicable regulations, and delivers structured findings with severity levels and remediation steps.
Document Review checks financial documents against FINRA 2210 compliance rules and disclosure requirements.
AI-generated summary based on this skill's SKILL.md
Install
open-gitagent/opengap/document-review · repository language: TypeScript
git clone https://github.com/open-gitagent/opengap
cp -r opengap/examples/full/skills/document-review ~/.claude/skills/document-reviewFrequently asked questions
AI-generated answers based on this skill's SKILL.md and metadata
What is document-review and what does it examine?
Document Review examines financial documents—prospectuses, ADVs, and marketing materials—against FINRA 2210 communications rules and SEC disclosure standards. It flags misleading claims, verifies required disclaimers, and ensures balanced presentation of risks and benefits. The skill classifies document type, maps applicable regulations, and delivers structured findings with severity levels and remediation steps.
How does document-review check financial documents for regulatory compliance?
Document Review checks financial documents by reviewing them against FINRA 2210 compliance requirements and SEC filing standards. It verifies that required disclosures are present, flags exaggerated or misleading claims, and confirms balanced presentation of risks and benefits in marketing materials. The skill then generates a compliance report with findings organized by severity.
Can document-review audit prospectuses and ADVs for violations?
Yes. Document Review audits prospectuses and ADVs for regulatory violations and missing disclaimers. It examines these documents against applicable FINRA communications rules and SEC standards, identifies gaps in required disclosures, and flags any misleading or unbalanced content that could violate compliance requirements.
What does document-review do with marketing materials?
Document Review performs compliance audits on marketing materials by verifying balanced presentation of risks and benefits, flagging misleading or exaggerated claims, and confirming all required disclosures are included. It checks these materials against FINRA 2210 communications rules to ensure regulatory compliance.
What output does document-review provide after reviewing documents?
Document Review generates a structured compliance report containing its findings. The report includes severity levels for each issue identified, remediation steps to address violations, document type classification, and mapped applicable regulations. This allows users to quickly understand what compliance gaps exist and how to fix them.
Is document-review open source?
Yes, Document Review is released under the MIT license, making it open source and available for modification and distribution under the terms of that license.
SKILL.md
rendered from the published skill — quoted content, verbatim
Document Review
Instructions
When reviewing a financial document:
- Classify the document — Determine document type (prospectus, ADV, customer agreement, marketing material, etc.)
- Identify applicable rules — Map to FINRA 2210 (communications), SEC disclosure requirements, etc.
- Check required elements — Verify all required disclosures, disclaimers, and content are present
- Assess accuracy — Flag potentially misleading, exaggerated, or promissory statements
- Check balance — Per FINRA 2210, ensure risks and benefits are presented in a balanced manner
- Review formatting — Verify required prominence of disclosures
Key
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examples/full/skills/document-review/SKILL.md