Checklist · Financial Services Regulation
Form CRS filing and delivery review checklist
Review checklist for filing and delivering Form CRS under Rule 17a-14. It records a mismatch between the rule's form citation and the page opened at that citation. It does not list form headings.
- Kind
- Checklist. Steps or checks to work through and tick off.
- Where it applies
- United States
- AI use
- Yellow You and the tool draft together, with you directing. You check every statement you rely on.
- Law stated as at
- 22 October 2026
- Status
- Maintained. Checked on 22 October 2026 against the 2 authorities it cites, for United States.
- Version
- 1
- Source
- Written for this library
When to use it
Use when checking whether a broker-dealer that offers services to a retail investor has a current relationship summary on file and has delivered it on time. Do not use it to complete or file the form.
Used for these tasks
Each task page says how far AI may help with the task and what the lawyer must review.
How AI may be used
Yellow: the lawyer checks filing and delivery against Rule 17a-14. The tool does not write or file the relationship summary.
AI may
- List the delivery events in Rule 17a-14(c) as dates to be filled from the firm's records.
- Record that the rule text points to 17 CFR 249.640 and that the page opened at that address is Form ATS-N.
- Record the website, 60-day and 30-day duties as questions.
AI must not
- Do not complete Form CRS, file it through Web CRD, or invent item headings.
- Do not resolve the 249.640 and 249.641 mismatch. Both facts are recorded and the lawyer decides which document to follow.
- Do not treat a product disclosure statement or a financial services guide as Form CRS.
The lawyer checks
- Open the form the firm actually uses and compare it with the current Commission form before any filing.
- Confirm the firm is a broker or dealer registered under section 15 of the Exchange Act and that it offers services to a retail investor.
- Check the earliest delivery trigger against the account and recommendation records.
Method: how the Green, Yellow and Red levels are decided. This is guidance for planning, not legal advice.
Read the full text
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- read the whole precedent, with its drafting notes beside it;
- copy it, or download it as a Word file or Markdown;
- add it to your firm’s knowledge base, so colleagues can find it;
- let the AI tools you connect read it from that knowledge base.
The summary, the law it rests on and the AI-use guidance above stay public. Privacy.
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All precedents for Financial Services Regulation · Tasks and AI use in this area