Checks advertised performance against the SEC Marketing Rule’s performance provisions, 206(4)-1(d)
One command in the Compliance pack, available in the CLI, as an MCP tool and as a JavaScript import: compliance performance-ad.
What it needs, and why
Every input is checked before anything is calculated. ad is required; the rest refine the answer.
| Input | Required | The question it asks | Why it matters |
|---|---|---|---|
ad | yes | What does the advertisement show: gross and net performance, which periods ending when, and any related, extracted or hypothetical performance? | Each triggers different conditions. |
Requests it answers
- “can we show this performance”
- “marketing rule check”
- “is this factsheet compliant”
An agent with this pack loaded picks the command from phrasing like that, asks for whatever input is missing, and reports the figures with the method that produced them.
Limits it inherits from wealth-compliance
- The screen is pattern matching. It does not understand negation, judge whether a communication is fair and balanced, or review performance presentations.
- Passing the screen is not approval. Retail communications still need review by a registered principal.
The full pack, its other 3 commands and what it deliberately leaves alone are on the Compliance page.