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Securities Compliance Workflow

Manage securities law compliance including insider trading prevention and disclosures.

Complexity: Critical | Duration: 15-30m | Category: Industry/Legal Services

Tags: securities sec insider-trading disclosures compliance

Workflow Diagram​

Steps​

Step 1: Maintain insider lists​

Maintain insider lists

Step 2: Manage trading windows​

Manage trading windows

Step 3: Pre​

Agent: clear trades

Step 4: Monitor trading activity​

Monitor trading activity

Step 5: Prepare SEC filings​

Prepare SEC filings

Step 6: Manage beneficial ownership​

Manage beneficial ownership

Step 7: Coordinate earnings releases​

Coordinate earnings releases

Step 8: Implement disclosure controls​

Implement disclosure controls

Step 9: Train on securities policies​

Train on securities policies

Step 10: Respond to SEC inquiries​

Respond to SEC inquiries

Usage​

To execute this workflow:

/workflow industry/legal-services/securities-compliance-workflow.workflow

See other workflows in this category for related automation patterns.