Step 1 of 7: General
SEC Filings & Disclosure
Regulations S-K, S-X, G & FDEvaluate, review, approve, and record AI capability claims, evidence, risk disclosures, and remediation.
Basis: Disclosure controls and emerging risk
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
7 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 7
ScreenSEC › SEC Workflows › AI-claim substantiation assessmentstep 1
Complete the General fields. Each value is validated against the schema before the next step unlocks.
CIK (required)
cikEnter cik.
Venue (required)
venueEnter venue.
Claim Text (required)
claimTextEnter claim text.
Published At (required)
publishedAtEnter published at.
Reviewed By Legal Atoptional
reviewedByLegalAtEnter reviewed by legal at.
Step 2 of 7
ScreenSEC › SEC Workflows › AI-claim substantiation assessmentstep 2
Complete the Taxonomy fields. Each value is validated against the schema before the next step unlocks.
Model Type (required)
modelTypeEnter model type.
Model Provider (required)
modelProviderEnter model provider.
Is Third-Party Dependencyoptional
isThirdPartyDependencyEnter is third-party dependency.
Step 3 of 7
ScreenSEC › SEC Workflows › AI-claim substantiation assessmentstep 3
Complete the Materiality fields. Each value is validated against the schema before the next step unlocks.
Materiality Level (required)
materialityLevelEnter materiality level.
Financial Impact Projectionoptional
financialImpactProjectionEnter financial impact projection.
Step 4 of 7
ScreenSEC › SEC Workflows › AI-claim substantiation assessmentstep 4
Complete the Substantiation fields. Each value is validated against the schema before the next step unlocks.
Substantiation Status (required)
substantiationStatusEnter substantiation status.
Training Data Provenance (required)
trainingDataProvenanceEnter training data provenance.
Bias Testing Completed Dateoptional
biasTestingCompletedDateEnter bias testing completed date.
Hallucination Mitigation Controlsoptional
hallucinationMitigationControlsEnter hallucination mitigation controls.
Third-Party Audit Completedoptional
thirdPartyAuditStatusEnter third-party audit completed.
Evidence Referencesoptional
evidenceRefsEnter evidence references.
Step 5 of 7
ScreenSEC › SEC Workflows › AI-claim substantiation assessmentstep 5
Complete the Nature fields. Each value is validated against the schema before the next step unlocks.
Claim Nature (required)
claimNatureEnter claim nature.
Safe Harbor Language Includedoptional
safeHarborLanguageIncludedEnter safe harbor language included.
Risk Disclosuresoptional
riskDisclosuresEnter risk disclosures.
Step 6 of 7
ScreenSEC › SEC Workflows › AI-claim substantiation assessmentstep 6
Complete the Remediation fields. Each value is validated against the schema before the next step unlocks.
Retraction Requiredoptional
retractionRequiredEnter retraction required.
Remediation Planoptional
remediationPlanEnter remediation plan.
Retracted Atoptional
retractedAtEnter retracted at.
Step 7 of 7
ScreenSEC › SEC Workflows › AI-claim substantiation assessmentstep 7
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Board Oversight Committeeoptional
boardOversightCommitteeEnter board oversight committee.
Approved By Board Atoptional
approvedByBoardAtEnter approved by board at.
Continue with the next guide in this framework's table of contents.
Classify the product and assets against current authority; route registration and exchange listing work; conditionally link Form 19b-4 and staking reviews; assess custody, keys, pricing, NAV, holdings, creation/redemption, authorized participants, liquidity, network events, disclosure, continuity, and governance without pretending the assessment itself is an SEC filing.
Read guide Regulations S-K, S-X, G & FDInventory each crypto asset and activity; bind classification to current Commission authority; conditionally assess safeguarding and broker-dealer custody; review holdings, accounting, Items 101, 105 and 303, cyber, ownership, bankruptcy, counterparty, concentration, and liquidity evidence; link staking activity; and record cross-functional approval without inventing a filing.
Read guide Regulations S-K, S-X, G & FDMeasure name-consistent assets, derive the basis-point ratio and applicable compliance date, document a temporary departure when applicable, obtain approval, and preserve the reviewed assessment.
Read guide