Securities legal-AI skills in 🇺🇸 United States

24 legal AI skills for securities in United States.

Annual Meeting Proxy Statement

Apache-2.0United StatesSecurities

Drafts a SEC Regulation 14A / Rule 14a-3 compliant annual meeting proxy statement (DEF 14A) covering notice, governance, executive compensation, related-party transactions, shareholder proposals, and voting procedures. Use when preparing proxy materials, annual meeting notices, or shareholder vote disclosures. Trigger: proxy statement, DEF 14A, annual meeting, proxy solicitation, say-on-pay, auditor ratification, Regulation 14A, Rule 14a-3.

Apply Say-on-Pay Governance

MITUnited StatesSecurities

Use when a public company is designing executive compensation and preparing for the required periodic shareholder advisory vote on that compensation — structuring pay to demonstrate a genuine link between compensation and company performance, and responding substantively if the advisory vote result is weak, rather than treating the vote as a formality unconnected to actual pay decisions.

Broker-Dealer Customer Agreement

Apache-2.0United StatesSecurities

Drafts SEC/FINRA-compliant Broker-Dealer Customer Agreements covering account opening, trading, margin, fees, risk disclosures, privacy, arbitration, and execution. Use when drafting or updating customer account agreements, brokerage agreements, or customer documentation for registered broker-dealers.

Client Disclosures

MITUnited StatesSecurities

Guide which client disclosure documents must exist, what each must contain, and when and how they must be delivered to clients of investment advisers and broker-dealers. Use when the user asks about Form ADV Part 2A or 2B content, Form CRS content and delivery, prospectus delivery obligations, privacy notice delivery, trade confirmation timing, account statement distribution, electronic vs paper delivery compliance, or the content and client-delivery side of the annual brochure update. Also trigger when users mention 'onboarding document checklist', 'what disclosures do we owe new clients', 'brochure supplement for a new adviser', or 'CRS conversation starters'. (For filing mechanics and regulatory deadlines — IARD amendments, Form PF, 13F — use regulatory-reporting; for whether fee disclosure content is adequate, use fee-disclosure.)

Design Audit Committee Charter

MITUnited StatesSecurities

Use when establishing or reviewing a public company's audit committee — setting the committee's composition requirements (full independence, at least one financial expert), its specific oversight responsibilities over financial reporting and the external auditor, and documenting these in a formal charter, rather than treating audit oversight as an informal extension of general board duties.

Design Compensation Clawback Policy

MITUnited StatesSecurities

Use when a public company is establishing the mandatory policy for recovering erroneously awarded incentive-based executive compensation following an accounting restatement — applying the recovery requirement without regard to individual executive fault, and disclosing the policy and any recovery actions per SEC and exchange listing requirements, rather than treating clawback as a discretionary or fault-based decision.

Design Insider Trading Policy

MITUnited StatesSecurities

Use when a public company is establishing or reviewing its insider trading compliance policy — defining blackout periods around material non-public information, requiring pre-cleared Rule 10b5-1 trading plans for executives who want to trade on a schedule, and applying restrictions company-wide rather than relying on individual employees' personal judgment about what counts as material information.

Design Proxy Access Policy

MITUnited StatesSecurities

Use when a company is adopting or amending a proxy access bylaw — the provision allowing qualifying shareholders to nominate director candidates directly on the company's own proxy statement — setting ownership and holding-period thresholds consistent with market-standard private-ordering practice, rather than setting thresholds so restrictive that the provision offers no genuine access in practice.

Design Whistleblower Bounty Compliance Program

MITUnited StatesSecurities

Use when a public company needs to comply with SEC and CFTC whistleblower bounty program requirements — ensuring internal policies, employment agreements, and settlement terms don't impede an employee's ability to report directly to regulators or receive a bounty award, distinct from designing the company's own internal speak-up culture and reporting channel.

Document Review

MITUnited StatesSecurities

Reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation. Use when reviewing financial statements, audit documents, regulatory filings, or when the user mentions compliance checks, financial audits, or document verification.

FINRA Broker-Dealer Cybersecurity Guidance Expert

MITUnited StatesSecurities

FINRA Broker-Dealer Cybersecurity Guidance expert. Stub-depth framework plugin that routes to the SCF crosswalk. Level up by adding framework-specific context, assessment workflow, and evidence patterns.

FINRA Rule 4512 — Customer Account Information

Apache-2.0United StatesSecurities

Drafts FINRA Rule 4512-compliant customer account records for broker-dealers. Use when onboarding customers, updating account information, or preparing for regulatory examinations. Triggers on requests involving customer account documentation, CIP/AML obligations, trusted contact designations, suitability profiling, or SEC Rule 17a-3 recordkeeping in broker-dealer contexts.

FINRA Rule 4512 — Customer Account Information

Apache-2.0United StatesSecurities

Drafts a FINRA Rule 4512 customer account information checklist for broker-dealers covering identification, trusted contact, affiliations, suitability profile, and account elections. Trigger when the user mentions FINRA 4512, customer account information, KYC/CIP onboarding, trusted contact person, Rule 2111 suitability, Rule 3210, or broker-dealer new account setup.

Insider Trading Policy

Apache-2.0United StatesSecurities

Drafts a U.S. financial-services insider trading policy covering MNPI definitions, preclearance, blackout windows, 10b5-1 plan governance, restricted/watch lists, reporting, and enforcement. Use when creating or updating insider trading policies for broker-dealers, investment advisers, or investment companies. Triggers: insider trading policy, 10b5-1 plan, preclearance, restricted list, blackout period, Reg FD, MNPI.

Intrastate Offering Compliance (Rule 147/147A)

Apache-2.0United StatesSecurities

Produces a compliance memo and execution plan for U.S. intrastate securities offerings under Rule 147 or Rule 147A with state registration by qualification. Covers safe harbor selection, doing-business tests, residency verification, advertising controls, resale restrictions, integration analysis, and blue sky registration. Trigger when the user mentions intrastate offering, Rule 147, Rule 147A, registration by qualification, single-state offering, Section 3(a)(11), state-only fundraising, in-state investor requirements, resale restriction legends, or says "we're only raising in one state."

Investors' Rights Agreement

Apache-2.0United StatesSecurities

Drafts a U.S. Investors' Rights Agreement for VC/private equity financings, covering registration rights, information/management rights, pro rata rights, expenses, and termination. Use when drafting an IRA, Amended and Restated IRA, or VC financing governance package. Trigger keywords: "investors' rights agreement", "IRA", "registration rights", "piggyback", "Form S-3", "information rights", "management rights", "pro rata", "ROFO".

Sarbanes-Oxley Act of 2002 (SOX) Expert

MITUnited StatesSecurities

Sarbanes-Oxley Act of 2002 (SOX) expert for ICFR-relevant IT and security work. Deep knowledge of 15 U.S.C. §§ 7201 et seq., §302/§404/§906 certifications, accelerated/non-accelerated filer scoping, ITGC testing across the four classic domains (Access, Change, Operations, Development), entity-level controls, IT-dependent manual controls, deficiency evaluation, SOC 1 vendor reliance, and the SEC/PCAOB/DOJ enforcement triangle.

SEC edgar us

MITUnited StatesSecurities

Look up U.S. public companies for free via the official SEC EDGAR APIs - company submissions and filing history (10-K, 10-Q, 8-K, Form 4), XBRL financial facts (assets, revenue, net income), ticker-to-CIK resolution, and full-text search across filings 2001-present. Use for KYB / know-your-business checks on SEC-registered issuers, financial due diligence, filing monitoring, and reading audited financials straight from the source. Trigger on: 'SEC EDGAR', 'SEC filings', 'find a 10-K', '10-Q', '8-K', 'CIK lookup', 'ticker to CIK', 'company financials from SEC', 'XBRL facts', 'is this a public company', 'US public company lookup'. EDGAR is free and covers SEC filers only; for private US and non-US companies it hands off to the paid regdata registry actors.

Securities Regulation Summary

Apache-2.0United StatesSecurities

Generates thematic compliance summaries of US securities regulation developments. Triggered when a user needs briefings on SEC rulemaking, enforcement trends, FINRA guidance, or emerging areas (SPACs, ESG, cybersecurity, digital assets). Also use for securities compliance updates or regulatory development summaries for senior audiences.

Simple Agreement for Future Equity (SAFE)

Apache-2.0United StatesSecurities

Drafts Simple Agreements for Future Equity (SAFE) for early-stage venture capital financing with valuation cap/discount mechanics, investor qualifications, and securities compliance. Use when drafting SAFEs, pre-seed investment documents, convertible equity instruments, or YC-style SAFE notes.

SOX ITGC — IT General Controls Skill

MITUnited StatesSecurities

Expert SOX IT General Controls (ITGC) advisor for finance, internal audit and IT compliance teams. Covers the four ITGC domains external auditors test for SOX 404 — access to programs and data, program changes, computer operations, and program development — plus scoping in-scope systems from the financial statements, designing risk-and-control matrices (RCMs), writing control narratives and test scripts, evaluating deficiencies (control deficiency vs significant deficiency vs material weakness under AS 2201 and Reg S-X), drafting remediation plans, SOX 404(a)/404(b) applicability and filer status, IPO readiness timelines, and COSO 2013 alignment. Use this skill whenever a user mentions SOX, ITGC, IT general controls, 404(a)/404(b), ICFR, material weakness, user access reviews, segregation of duties in IT, change management controls for financial systems, SOX testing or walkthroughs, PCAOB audits, or quarterly compliance for financial reporting systems.

State Merit Review Analysis

Apache-2.0United StatesSecurities

Analyzes state merit review for non-covered securities offerings, applying NASAA Statements of Policy to cheap stock, promoter equity investment, voting rights, and promoter compensation. Produces examiner-ready comment responses with cap table analysis and negotiation strategy. Use when filing Reg A, Rule 504, intrastate, or direct public offerings in merit review states, responding to Blue Sky examiner comments, structuring offerings to avoid conditioning, or analyzing NASAA SOPs. Also trigger on cheap stock analysis, promoter equity tests, unequal voting rights review, state examiner correspondence, or phrases like "merit review issues" or "the state examiner sent comments."

Suitability and Best Interest Policy (Reg BI)

Apache-2.0United StatesSecurities

Drafts board-ready Suitability and Best Interest policies for broker-dealers under FINRA Rule 2111 and SEC Regulation Best Interest (Reg BI). Covers the four Reg BI component obligations, suitability framework, Form CRS integration, supervision, and recordkeeping. Use when drafting Reg BI compliance policies, suitability procedures, or best interest obligation frameworks for financial services firms.

Transfer Agent Agreement

Apache-2.0United StatesSecurities

Drafts U.S. transfer agent agreements between issuers and SEC-registered transfer agents covering appointment, stock ledger, transfer processing, Rule 17Ad compliance, fees, termination, and transition. Trigger on: transfer agent agreement, stock ledger, shareholder registry, TA-1, TA-2, 17Ad, appointing or renewing a transfer agent.