---
title: "Build a production log for an adviser examination"
url: "https://ailawframework.com/practice/financial-services-regulation/build-a-production-log-for-a-regulator-examination-or-notice-to-produce/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-T1-R9-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Build a production log for an adviser examination

> List each request, the document, the date, the custodian named in the file, and whether the lawyer has marked it to be produced. Write no transmittal letter.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/build-a-production-log-for-a-regulator-examination-or-notice-to-produce/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 | List each request, the document, the date, the custodian named in the file, and whether the lawyer has marked it to be produced. Write no transmittal letter. |
| What the lawyer must review | Model Rule 1.6 applies before examination materials go into a tool or to a regulator. Rule 206(4)-7 requires written policies reasonably designed to prevent violations, an annual review, and a chief compliance officer. The log does not decide privilege. The lawyer decides what is produced and what is withheld. |
| Written for | United States |
| Applies to | [Build a production log for a regulator examination or notice to produce](https://ailawframework.com/practice/financial-services-regulation/build-a-production-log-for-a-regulator-examination-or-notice-to-produce.md) |

## Checking plan

- What the AI does: List each request, the document, the date, the custodian named in the file, and whether the lawyer has marked it to be produced. Write no transmittal letter.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- Do not place privileged material on the produced list unless the lawyer has marked it.
- The log is not the production.

## 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 Model Rule 1.6, Confidentiality of Information](https://www.americanbar.org/groups/professional_responsibility/publications/model_rules_of_professional_conduct/rule_1_6_confidentiality_of_information/) (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)

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