SEC Filing Compliance Analyzer
Review SEC filings for compliance gaps and disclosure accuracy before submission
What You Can Do
You can rapidly analyze draft SEC filings against regulatory requirements, flagging disclosure gaps, incomplete MD&A sections, and footnote deficiencies that could trigger auditor comments or regulatory issues. The skill systematically reviews financial statements, risk disclosures, contingencies, and segment reporting to ensure alignment with accounting standards and peer company practices, helping you catch errors before they reach external auditors or the SEC.
Features
Identifies missing or incomplete disclosures in MD&A, footnotes, and risk factor sections against SEC requirements
Benchmarks your disclosure language and structure against comparable public company filings
Validates accounting footnotes against relevant ASC topics and ensures all material items are properly explained
Flags underreported or missing contingent liabilities, legal proceedings, and commitments
Cross-checks segment disclosures against revenue recognition policies and operating metrics
Ensures material risks, uncertainties, and changes in business conditions are adequately disclosed
Anticipates common audit findings and flags areas likely to generate adjustment requests
Maps filing sections to specific SEC rules (Regulation S-K, S-X) for systematic validation
Example Output
Example 1: MD&A Gap Identification
Input: Draft 10-K with preliminary MD&A section
Output:
- ⚠️ MISSING DISCLOSURES
- No explanation of 15% gross margin decline YoY (required for material changes)
- Customer concentration risk not quantified (top 3 customers represent 42% of revenue)
- Deferred revenue decrease of $8M not explained in MD&A
✓ COMPLIANT
- Liquidity discussion addresses debt covenant compliance
- Segment reporting reconciles to consolidated statements
Example 2: Footnote Completeness Review
Input: Revenue recognition and lease accounting footnotes
Output:
- ⚠️ INCOMPLETE DISCLOSURES (ASC 606 & ASC 842)
- Missing performance obligation transaction price allocation for multi-year contracts
- Operating lease table missing lease obligation payment schedule beyond 5 years
- No disclosure of variable consideration estimates for performance-based contracts
- 📋 PEER BENCHMARK
- Your disclosure: 4 paragraphs | Peer average: 6-7 paragraphs (consider expansion)
- Missing: Judgment estimates for lease term determination
Example 3: Risk Factor Validation
Input: Current risk factors section
Output:
✓ ADEQUATELY DISCLOSED
- Cybersecurity risks explained with specific mitigation measures
- Supply chain concentration identified with quantitative exposure
- ⚠️ MATERIAL GAPS
- Regulatory investigation disclosed in Item 1A but no quantified financial exposure estimate
- New market expansion into Region X not mentioned in market risk or operational risk sections
- Departure of CFO not reflected in management changes risk disclosure
What's Included
- SKILL.md: Core instruction file with SEC filing compliance analysis framework
- Compliance Checklist Template: Item-by-item 10-K/10-Q verification against Regulation S-K and S-X requirements
- Disclosure Gap Identification Worksheet: Structured format for cataloging missing or incomplete disclosures by filing section
- Peer Comparison Framework: Analysis structure for benchmarking your disclosures against selected comparable companies
- Auditor Comment Prevention Guide: Common audit findings mapped to preventive disclosure strategies
Who It's For
- CFOs and VP Finance at public companies managing SEC filing compliance and audit processes
- Corporate Controllers overseeing financial statement preparation and disclosure accuracy
- Accounting Directors conducting pre-filing compliance reviews with audit teams
- Disclosure Committees validating completeness and consistency across 10-K/10-Q submissions
- Internal Audit Leaders performing control assessments over financial reporting processes
Best For
- Draft filing review before submission to audit committees and external auditors
- Auditor comment response — identifying root causes and strengthening disclosures
- Peer benchmarking — comparing disclosure comprehensiveness and language consistency
- Risk factor validation — ensuring all material business risks are adequately disclosed
- Compliance gap remediation — systematic remediation of identified disclosure deficiencies
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