---
title: "Record human review of an AI-generated advice draft"
url: "https://ailawframework.com/practice/financial-services-regulation/build-a-human-in-the-loop-sign-off-register-for-ai-generated-advice/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-B6-5-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Record human review of an AI-generated advice draft

> For each draft, record the reviewer's name as it appears in the file, the date, and whether the reviewer is the person designated under the firm's compliance rule. Write no advice sentence.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/build-a-human-in-the-loop-sign-off-register-for-ai-generated-advice/united-states  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Financial Services Regulation (AFSL/ASIC/credit)](https://ailawframework.com/practice/financial-services-regulation.md) |
| Human involvement | Yellow: Lawyer and AI draft together |
| How AI is used | For each draft, record the reviewer's name as it appears in the file, the date, and whether the reviewer is the person designated under the firm's compliance rule. Write no advice sentence. |
| What the lawyer must review | Rule 206(4)-7 requires a registered adviser to adopt written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules under it, to review those policies no less frequently than annually, and to designate a supervised person as chief compliance officer. Formal Opinion 512 still requires the lawyer to verify generative output. The register records the review. It is not the advice, and it does not show that the policies are adequate. |
| Written for | United States |
| Applies to | [Build a human-in-the-loop sign-off register for AI-generated advice](https://ailawframework.com/practice/financial-services-regulation/build-a-human-in-the-loop-sign-off-register-for-ai-generated-advice.md) |

## Checking plan

- What the AI does: For each draft, record the reviewer's name as it appears in the file, the date, and whether the reviewer is the person designated under the firm's compliance rule. Write no advice sentence.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- The lawyer checks the advice itself. The register does not replace that check.
- Do not put client holdings into a public tool.

## Sources

- [17 C.F.R. section 275.206(4)-7, Compliance procedures and practices](https://www.law.cornell.edu/cfr/text/17/275.206(4)-7) (checked 2026-10-22)
- [ABA Formal Opinion 512, Generative Artificial Intelligence Tools (29 July 2024)](https://www.americanbar.org/content/dam/aba/administrative/professional_responsibility/ethics-opinions/aba-formal-opinion-512.pdf) (checked 2026-10-22)
- [Investor.gov, Form ADV](https://www.investor.gov/introduction-investing/investing-basics/glossary/form-adv) (checked 2026-10-22)

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*