AgentSkillsCN

Validate Regulatory Filing

验证监管申报文件

SKILL.md

Skill: Validate Regulatory Filing

Domain

financial_services

Description

Validates regulatory filings for completeness, accuracy, and compliance with SEC, FINRA, and other regulatory requirements.

Tags

regulatory, compliance, SEC, FINRA, filing, reporting

Use Cases

  • •Filing completeness check
  • •Data accuracy validation
  • •Deadline compliance tracking
  • •Cross-reference verification

Proprietary Business Rules

Rule 1: Form Completeness

Validation of all required fields and attachments.

Rule 2: Data Consistency

Cross-validation of financial data across forms.

Rule 3: Deadline Compliance

Filing deadline calculation and tracking.

Rule 4: Amendment Detection

Identification of material changes requiring amendments.

Input Parameters

  • •filing_id (string): Filing identifier
  • •filing_type (string): Type of regulatory filing
  • •filing_data (dict): Filing content
  • •prior_filings (list): Previous related filings
  • •entity_info (dict): Filing entity information
  • •submission_date (string): Planned submission date

Output

  • •validation_status (string): Overall validation result
  • •completeness_check (dict): Missing items report
  • •accuracy_issues (list): Data accuracy findings
  • •deadline_status (dict): Filing deadline analysis
  • •required_corrections (list): Required fixes

Implementation

The validation logic is implemented in filing_validator.py and references data from CSV files:

  • •required_fields.csv - Reference data
  • •deadline_rules.csv - Reference data
  • •accuracy_rules.csv - Reference data
  • •amendment_triggers.csv - Reference data
  • •filer_categories.csv - Reference data
  • •xbrl_requirements.csv - Reference data
  • •parameters.csv - Reference data.

Usage Example

python
from filing_validator import validate_filing

result = validate_filing(
    filing_id="FIL-2026-001",
    filing_type="10-K",
    filing_data={"fiscal_year_end": "2025-12-31", "total_assets": 1000000000},
    prior_filings=[{"type": "10-Q", "period": "2025-Q3"}],
    entity_info={"cik": "0001234567", "sic": "6022"},
    submission_date="2026-03-01"
)

print(f"Status: {result['validation_status']}")

Test Execution

python
from filing_validator import validate_filing

result = validate_filing(
    filing_id=input_data.get('filing_id'),
    filing_type=input_data.get('filing_type'),
    filing_data=input_data.get('filing_data', {}),
    prior_filings=input_data.get('prior_filings', []),
    entity_info=input_data.get('entity_info', {}),
    submission_date=input_data.get('submission_date')
)