---
name: Document Review
slug: document-review
category: Quality
description: Document Review reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation. Use it when checking financial statements, audit documents, regulatory filings, or compliance issues.
github: "https://github.com/open-gitagent/opengap/tree/main/examples/full/skills/document-review"
language: TypeScript
stars: 2916
forks: 346
install: "npx degit https://github.com/open-gitagent/opengap/tree/main/examples/full/skills/document-review ~/.claude/skills/document-review"
installs_to: ~/.claude/skills/document-review
source_path: examples/full/skills/document-review/SKILL.md
collection_size: 18
category_size: 1354
collection_url: "https://dirskills.com/collections/open-gitagent/opengap"
added: 2026-08-17T07:10:02.908Z
last_synced: 2026-08-17T07:10:02.908Z
canonical_url: "https://dirskills.com/skills/document-review"
---

# Document Review

Document Review reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation. Use it when checking financial statements, audit documents, regulatory filings, or compliance issues.

**Install:**

```bash
npx degit https://github.com/open-gitagent/opengap/tree/main/examples/full/skills/document-review ~/.claude/skills/document-review
```

## README

# Document Review

## Instructions
When reviewing a financial document:

1. **Classify the document** — Determine document type (prospectus, ADV, customer agreement, marketing material, etc.)
2. **Identify applicable rules** — Map to FINRA 2210 (communications), SEC disclosure requirements, etc.
3. **Check required elements** — Verify all required disclosures, disclaimers, and content are present
4. **Assess accuracy** — Flag potentially misleading, exaggerated, or promissory statements
5. **Check balance** — Per FINRA 2210, ensure risks and benefits are presented in a balanced manner
6. **Review formatting** — Verify required prominence of disclosures

## Key Checks
- [ ] All required disclosures present
- [ ] No misleading or exaggerated claims
- [ ] Balanced presentation of risks and benefits
- [ ] Proper disclaimers included
- [ ] Correct classification (correspondence/retail/institutional)
- [ ] Principal pre-approval status verified (if retail communication)

## Output Format

For each finding, produce:

```
### [SEVERITY] — [Rule Reference]
- **Issue**: [What was found]
- **Location**: [Section/page reference]
- **Recommended action**: [Specific fix]
```

### Example Finding

```
### WARNING — FINRA 2210(d)(1)(A)
- **Issue**: Performance claim "consistently outperforms the market" lacks supporting data and time period
- **Location**: Page 2, paragraph 3
- **Recommended action**: Add specific time period, benchmark comparison, and standardized performance data per SEC Rule 482
```