Rule Boundaries

The CLI flags potential issues for review.

Compliance Flag is intentionally limited. It can organize evidence and draft SEC Marketing Rule findings, but it does not decide whether content is compliant.

Core boundary

Compliance Flag supports review work. It flags potential issues for reviewers to evaluate; it does not decide whether content is compliant.

Reports should be treated as drafts. A reviewer should evaluate the content, the excerpt, the saved source, the cited authority, the context, and the firm's facts before relying on or acting on a finding.

Authorized use

Compliance Flag is intended only for websites, files, pages, or other content that the user owns, controls, administers, or has explicit permission to assess.

  • Do not run URL scans against third-party websites without authorization.
  • Do not use the tool to crawl third-party websites, authenticated systems, customer portals, or confidential systems without explicit authorization.
  • Do not put private client content, Anthropic API keys, credentials, or confidential regulatory information in GitHub issues or examples.

Current regulatory focus

The initial rule focus is SEC Rule 275.206(4)-1, the Investment Adviser Marketing Rule. Related SEC books-and-records and Form ADV references may be used for context where appropriate.

Reports should not imply that a finding is a final legal, compliance, or regulatory conclusion. The language should stay framed around potential issues for review.

What the tool does not do

  • It does not provide legal, compliance, regulatory, investment, tax, accounting, or financial advice.
  • It does not approve, certify, or clear marketing content.
  • It does not replace a firm's compliance program, policies, records, or professional judgment.
  • It does not guarantee that bundled regulatory sources reflect later developments.
Previous Reading a Report Next Regulatory Sources

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.