---
title: "Form CRS filing and delivery review checklist"
url: "https://ailawframework.com/precedents/financial-services-regulation/us-form-crs-delivery-checklist"
type: "precedent"
site: "AI Law Framework"
id: "a28-us-form-crs-delivery-checklist"
area_id: "A28"
kind: "checklist"
ai_level: "yellow"
version: 1
task_ids: ["A28-T1-R6"]
law_stated_as_at: "2026-10-22"
---

# 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.

Canonical page: https://ailawframework.com/precedents/financial-services-regulation/us-form-crs-delivery-checklist  
Law stated as at: 2026-10-22

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

## Key facts

- Kind: Checklist. Steps or checks to work through and tick off.
- Practice area: [Financial Services Regulation](https://ailawframework.com/precedents/financial-services-regulation.md)
- Jurisdictions: United States
- AI level: Yellow. You and the tool draft together, with you directing. You check every statement you rely on.
- Law stated as at: 2026-10-22
- Status: Maintained. Checked on 2026-10-22 against the 2 authorities it cites, for United States.

## 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

- [Draft or review a product-disclosure document or financial-services guide](https://ailawframework.com/practice/financial-services-regulation/draft-or-review-a-product-disclosure-document-or-financial-services-guid.md)

## 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.

## Authorities

- [17 CFR § 240.17a-14](https://www.law.cornell.edu/cfr/text/17/240.17a-14)
- [17 CFR § 249.640 as opened (the page is Form ATS-N)](https://www.law.cornell.edu/cfr/text/17/249.640)

## Full text and drafting notes

The full text and the drafting notes are not part of this public page. Signed-in firm accounts can read them at https://ailawframework.com/precedents/financial-services-regulation/us-form-crs-delivery-checklist and through the signed-in MCP connector https://ailawframework.com/mcp/firm.

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