Step 1 of 7: Identity
SEC Filings & Disclosure
Broker-dealers, advisers & fundsDetermine Rule 206(4)-1 applicability; review the seven general prohibitions; gate performance, testimonial, endorsement, and third-party-rating evidence; preserve Rule 204-2 records and Form ADV Item 5.L evidence; and record a CCO-approved assessment without pretending that the assessment itself is an SEC filing.
Basis: Investment adviser compliance
/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 › Investment adviser marketing reviewstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Investment adviser (required)
entityIdSelect the adviser responsible for the communication and Form ADV reporting. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Step 2 of 7
ScreenSEC › SEC Workflows › Investment adviser marketing reviewstep 2
Complete the Scope fields. Each value is validated against the schema before the next step unlocks.
Communication type (required)
advertisementKindEnter communication type.
Rule 206(4)-1 applies to this communication (required)
ruleApplicableRecord the reviewed legal conclusion; the workflow does not infer coverage from channel alone.
Advertisement-definition and applicability analysis artifact ID (required)
applicabilityAnalysisArtifactIdEnter advertisement-definition and applicability analysis artifact id.
Approved non-applicability conclusion artifact IDoptional
nonApplicabilityApprovalArtifactIdEnter approved non-applicability conclusion artifact id.
Step 3 of 7
ScreenSEC › SEC Workflows › Investment adviser marketing reviewstep 3
Complete the General Prohibitions fields. Each value is validated against the schema before the next step unlocks.
Final advertisement artifact IDoptional
advertisementArtifactIdEnter final advertisement artifact id.
Dissemination channel and intended-audience artifact IDoptional
disseminationAndAudienceArtifactIdEnter dissemination channel and intended-audience artifact id.
Seven general prohibitions review artifact IDoptional
generalProhibitionsReviewArtifactIdEnter seven general prohibitions review artifact id.
Material claim substantiation artifact IDoptional
materialClaimSubstantiationArtifactIdEnter material claim substantiation artifact id.
Benefits, risks, advice, selection, and time-period fair-balance artifact IDoptional
fairBalanceReviewArtifactIdEnter benefits, risks, advice, selection, and time-period fair-balance artifact id.
Step 4 of 7
ScreenSEC › SEC Workflows › Investment adviser marketing reviewstep 4
Complete the Performance fields. Each value is validated against the schema before the next step unlocks.
Advertisement includes performance informationoptional
includesPerformanceEnter advertisement includes performance information.
Performance presentation typeoptional
performanceKindEnter performance presentation type.
Performance calculation and source-data artifact IDoptional
performanceCalculationArtifactIdEnter performance calculation and source-data artifact id.
Presentation includes gross performanceoptional
includesGrossPerformanceEnter presentation includes gross performance.
Corresponding net-performance presentation artifact IDoptional
netPerformancePresentationArtifactIdEnter corresponding net-performance presentation artifact id.
Prescribed time-period or applicable exception analysis artifact IDoptional
prescribedPeriodsAnalysisArtifactIdEnter prescribed time-period or applicable exception analysis artifact id.
Presentation includes extracted performanceoptional
includesExtractedPerformanceEnter presentation includes extracted performance.
Extract and total-portfolio comparison evidence artifact IDoptional
extractedPerformancePresentationArtifactIdEnter extract and total-portfolio comparison evidence artifact id.
Presentation includes hypothetical performanceoptional
includesHypotheticalPerformanceEnter presentation includes hypothetical performance.
Hypothetical-performance policies artifact IDoptional
hypotheticalPerformancePoliciesArtifactIdEnter hypothetical-performance policies artifact id.
Hypothetical-performance audience analysis artifact IDoptional
hypotheticalAudienceAnalysisArtifactIdEnter hypothetical-performance audience analysis artifact id.
Hypothetical assumptions, risks, and criteria artifact IDoptional
hypotheticalInformationArtifactIdEnter hypothetical assumptions, risks, and criteria artifact id.
Presentation includes predecessor performanceoptional
includesPredecessorPerformanceEnter presentation includes predecessor performance.
Predecessor personnel, account, and disclosure analysis artifact IDoptional
predecessorPerformanceAnalysisArtifactIdEnter predecessor personnel, account, and disclosure analysis artifact id.
Step 5 of 7
ScreenSEC › SEC Workflows › Investment adviser marketing reviewstep 5
Complete the Promoters fields. Each value is validated against the schema before the next step unlocks.
Advertisement includes a testimonial or endorsementoptional
includesTestimonialOrEndorsementEnter advertisement includes a testimonial or endorsement.
Promoter status, compensation, and conflict disclosure artifact IDoptional
promoterDisclosureArtifactIdEnter promoter status, compensation, and conflict disclosure artifact id.
Promoter oversight artifact IDoptional
promoterOversightArtifactIdEnter promoter oversight artifact id.
Written agreement or documented exception artifact IDoptional
promoterAgreementOrExceptionArtifactIdEnter written agreement or documented exception artifact id.
Promoter disqualification due-diligence artifact IDoptional
promoterEligibilityDueDiligenceArtifactIdEnter promoter disqualification due-diligence artifact id.
Step 6 of 7
ScreenSEC › SEC Workflows › Investment adviser marketing reviewstep 6
Complete the Ratings fields. Each value is validated against the schema before the next step unlocks.
Advertisement includes a third-party ratingoptional
includesThirdPartyRatingEnter advertisement includes a third-party rating.
Rating questionnaire and design due-diligence artifact IDoptional
ratingQuestionnaireDueDiligenceArtifactIdEnter rating questionnaire and design due-diligence artifact id.
Third-party-rating disclosure artifact IDoptional
ratingDisclosureArtifactIdEnter third-party-rating disclosure artifact id.
Step 7 of 7
ScreenSEC › SEC Workflows › Investment adviser marketing reviewstep 7
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Rule 204-2 advertisement records artifact ID (required)
booksAndRecordsArtifactIdEnter rule 204-2 advertisement records artifact id.
Current Form ADV Item 5.L response evidence artifact ID (required)
formAdvItem5LArtifactIdEnter current form adv item 5.l response evidence artifact id.
Marketing-rule policies and procedures artifact ID (required)
marketingPoliciesArtifactIdEnter marketing-rule policies and procedures artifact id.
Chief compliance officer approval artifact ID (required)
ccoApprovalArtifactIdEnter chief compliance officer approval artifact id.
Continue with the next guide in this framework's table of contents.
Select the legally operative form version and filing type, calculate adviser/fund scope and deadlines, capture all applicable fund, strategy, exposure, liquidity, leverage, counterparty, risk, aggregation, look-through, estimate, and assumption data, obtain data-owner and CCO approvals, validate the confidential XML or portal payload, submit through PFRD, and reconcile its receipt.
Read guide Broker-dealers, advisers & fundsPrepare an initial or amended Investment Company Act exemptive application, preserve applicants, facts, legal standards, requested order, conditions, precedent, correspondence, verification, signatures, and exhibits; submit through EDGAR; distinguish EDGAR acceptance from a later Commission exemptive order.
Read guide Broker-dealers, advisers & fundsPrepare an initial, amendment, or cessation notice for a non-NMS ATS; gate NMS stock activity into Form ATS-N; capture broker-dealer registration, operations, access, fair-access, order-display, systems, surveillance, books, records, safeguards, exhibits, and signature evidence; and reconcile Commission receipt without representing the notice as Commission approval.
Read guide