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Reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation.
Passed 21 of 22 test cases with the skill, and 21 of 22 without it.
1 fixed20 passed either way0 still failing1 broke
Tokens, turns and time describe resource use, not a dollar price.
A test case the skill fixed. Same model, same prompt, with and without the skill.
Review page 2 of this draft retail fund brochure which states: 'Our flagship growth strategy consistently outperforms the market year after year.' Recommend compliance corrections for this marketing claim.
| Checked | Without skill | With skill |
|---|---|---|
| The output references FINRA 2210 or SEC Rule 482 regarding performance claims. | Passed | Passed |
| The output flags the statement as lacking standardized time periods or benchmark comparisons. | Passed | Passed |
| The output formats the finding with severity, rule reference, issue, location, and recommended action. | Missed | Passed |
The instructions your model reads when the skill loads.
When reviewing a financial document:
For each finding, produce:
### [SEVERITY] — [Rule Reference]
- **Issue**: [What was found]
- **Location**: [Section/page reference]
- **Recommended action**: [Specific fix]
### WARNING — FINRA 2210(d)(1)(A)
- **Issue**: Performance claim "consistently outperforms the market" lacks supporting data and time period
- **Location**: Page 2, paragraph 3
- **Recommended action**: Add specific time period, benchmark comparison, and standardized performance data per SEC Rule 482
test cases passed, vs 21 / 22 without
More skills from the same source and nearby in the registry, with their headline benchmark lift.