Safe to Publish is not a chatbot. Under the hood is a retrieval-and-verification pipeline designed around one principle: an examiner should be able to trace every flag back to a specific chunk of authority.
We maintain a versioned corpus: Rule 206(4)-1, the adopting release, 41 Division of Investment Management staff FAQs, and every Division of Examinations risk alert. Each chunk has an immutable ID that flags refer back to.
When a new risk alert drops, we ingest it within seven days, tag it, and stamp the new corpus version on every review going forward.
Some violations are deterministic — they're exact phrases staff has already called out. Those run as regexes on every review, independent of the model. If the model misses one, the deterministic layer still flags it.
The LLM handles the nuance: context-sensitive claims, implied inferences, whether a testimonial's disclosures are complete. Every LLM flag must resolve to a real corpus ID — flags whose citation doesn't resolve are silently dropped before you see them. Zero hallucinated citations, by construction.
Nothing is ever "approved" by Safe to Publish. A flag is a recommendation for the CCO or reviewer to act on — apply the rewrite, dismiss with a note explaining why it doesn't apply, or escalate to counsel. Every decision appends to your audit log.
We flag what an SEC examiner might cite. You decide whether the flag applies to your firm's situation, your ADV brochure, and your fee schedule — none of which we know, and none of which we presume.
No draft is "SEC-approved," "approved by compliance," or "cleared to publish." The tool makes recommendations; people make approvals.
No tool can guarantee compliance. What we guarantee is that every flag we surface cites a real rule chunk you can defend in an exam.
Flags that can't resolve to a corpus chunk are dropped. If you want to know what dropped, open the review and look at droppedHallucinations in the audit metadata.
Your content is processed by isolated inference in us-east-1. It is not used to train models, ours or anyone else's.