Regulatory Sources

Bundled rule text is useful, but point-in-time.

Compliance Flag includes bundled regulatory materials so scans can cite SEC sources. Reviewers should check important matters against authoritative sources.

Bundled scan-time sources

The current package ships with regulatory source files used by the scanner. These files give Anthropic's Opus model SEC rule text and related context during analysis.

  • SEC Rule 275.206(4)-1, Investment Adviser Marketing.
  • SEC Rule 275.204-2, Books and Records.
  • SEC Part 279, Forms Under the Investment Advisers Act.

Current-as-of note

The bundled SEC Rule 275.206(4)-1 source text is labeled by eCFR as up to date as of February 23, 2026. For now, treat bundled scan-time regulatory sources as current as of February 23, 2026 unless a newer source date is documented for a specific file.

Verify before important use.

Bundled regulatory source materials may not reflect later developments. Reviewers should check eCFR, SEC.gov, or other authoritative sources before relying on a report for important decisions.

Source changes

Regulatory source changes should be handled carefully. A contribution that changes bundled source materials should document the source URL, retrieval date, redistribution considerations, and current-as-of notes.

Do not add new regulatory materials without documenting provenance.

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Compliance Flag and Quillmark LLC are not law firms and do not provide legal, compliance, regulatory, investment, tax, accounting, or financial advice. The project, scan outputs, articles, and examples are for informational and operational use only. They should be reviewed by qualified personnel before use. Compliance Flag and Quillmark LLC do not determine that any communication meets all applicable requirements and are not affiliated with, endorsed by, or acting on behalf of the SEC or any other regulator. Regulatory and enforcement references are based on source materials and may not reflect later developments.

Compliance Flag is a Quillmark Open Source initiative. Compliance Flag is not endorsed by, sponsored by, or affiliated with OpenAI, Anthropic, or any model provider.