Step 1 of 6: Identity
SEC Filings & Disclosure
Regulations S-K, S-X, G & FDSelect the versioned S-K item and filing facts, derive applicability for the form, filer status and period, identify an unaddressed item, obtain approval, and preserve the reviewed assessment.
Basis: Disclosure controls and filing readiness
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSEC › SEC Workflows › Regulation S-K item applicability assessmentstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Registrant CIK (required)
cikEnter registrant cik. An example value is "0001234567".
Step 2 of 6
ScreenSEC › SEC Workflows › Regulation S-K item applicability assessmentstep 2
Complete the Item fields. Each value is validated against the schema before the next step unlocks.
S-K item number (required)
itemNumberEnter s-k item number.
Item title (required)
itemTitleEnter item title.
Step 3 of 6
ScreenSEC › SEC Workflows › Regulation S-K item applicability assessmentstep 3
Complete the Applicability fields. Each value is validated against the schema before the next step unlocks.
Applies to forms (required)
appliesToFormsEnter applies to forms.
Applies to filer statuses (required)
appliesToFilerStatusesEnter applies to filer statuses.
Applies to foreign private issuersoptional
appliesToForeignPrivateIssuersEnter applies to foreign private issuers.
In force from (required)
effectiveFromEnter in force from.
In force untiloptional
effectiveToEnter in force until.
Step 4 of 6
ScreenSEC › SEC Workflows › Regulation S-K item applicability assessmentstep 4
Complete the Status fields. Each value is validated against the schema before the next step unlocks.
Addressed in the filingoptional
addressedEnter addressed in the filing.
Where it is addressedoptional
addressedAtSectionEnter where it is addressed.
Reason it does not applyoptional
notApplicableReasonEnter reason it does not apply.
Step 5 of 6
ScreenSEC › SEC Workflows › Regulation S-K item applicability assessmentstep 5
Complete the Filing Under Test fields. Each value is validated against the schema before the next step unlocks.
Filing form being tested (required)
filingFormEnter filing form being tested.
Filer status for the filing (required)
filingFilerStatusEnter filer status for the filing.
Period end for the filing (required)
filingPeriodEndEnter period end for the filing.
Filing is for a foreign private issueroptional
filingIsForeignPrivateIssuerEnter filing is for a foreign private issuer.
Step 6 of 6
ScreenSEC › SEC Workflows › Regulation S-K item applicability assessmentstep 6
No manual input is captured here: this step is completed from the preceding sections or by the platform.
No manual inputs in this step.
Continue with the next guide in this framework's table of contents.
Evaluate, review, approve, and record AI capability claims, evidence, risk disclosures, and remediation.
Read guide Regulations S-K, S-X, G & FDClassify 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