Here is the public RIM™ register. Read it.
The coverage claim, listed provision by provision.
Coverage should be inspectable. The register below lists the 22 provisions represented in TIMEWrit's current Regulatory Intelligence Matrix (RIM™), with the CFR citation beside each one and links to the primary rule text. It is not the full internal Matrix: the released RIM also carries operative rule text, adopting-release context, flags, defined terms, applicability, and enrichment fields. What is public here is the coverage register. Count it, read the sources, and judge the claim at the level we can show.
Screening finds candidates. RIM organizes the review record.
Screening can surface a candidate issue—a performance figure without visible support, a testimonial, a rating claim, or a records question. That is the beginning of review support, not the end. The reviewer still needs to know which provision may be implicated, what the rule says, how the finding is classified, what evidence is present, and what action the workup recommends. TIMEWrit’s product claim begins where the initial flag ends.
The Regulatory Intelligence Matrix (RIM) is the structured layer behind that workup. A candidate finding can be mapped to implicated provision codes, operative rule text, adopting-release context, risk class, severity, books-and-records consequence, substantiation posture, curability, and recommended action. The Matrix does not make the firm’s decision. It gives the reviewer a defined record on which to make one. Screening is upstream. RIM organizes the decision support.
RIM release metadata and enrichment time travel with the enriched record
Twenty provisions of the Marketing Rule. Two of Books and Records.
Below is the current public register of 22, grouped the way the rule groups itself. Twenty come from Rule 206(4)-1. Two come from Rule 204-2. Each group links to the primary source so you can read the language yourself rather than take a summary on faith.
| 206(4)-1(a)(1) | Untrue Statements of Material Fact | 17 CFR 275.206(4)-1(a)(1) |
| 206(4)-1(a)(2) | Unsubstantiable Material Claims | 17 CFR 275.206(4)-1(a)(2) |
| 206(4)-1(a)(3) | Misleading Implications or Inferences | 17 CFR 275.206(4)-1(a)(3) |
| 206(4)-1(a)(4) | Fair and Balanced Treatment of Risks | 17 CFR 275.206(4)-1(a)(4) |
| 206(4)-1(a)(5) | Fair and Balanced Presentation of Investment Advice | 17 CFR 275.206(4)-1(a)(5) |
| 206(4)-1(a)(6) | Fair and Balanced Performance Presentation | 17 CFR 275.206(4)-1(a)(6) |
| 206(4)-1(a)(7) | Otherwise Materially Misleading (Cumulative Effect) | 17 CFR 275.206(4)-1(a)(7) |
| 206(4)-1(b)(1) | Testimonial/Endorsement Disclosure Requirements | 17 CFR 275.206(4)-1(b)(1) |
| 206(4)-1(b)(2) | Oversight and Written Agreement Requirements | 17 CFR 275.206(4)-1(b)(2) |
| 206(4)-1(b)(3) | Bad Actor Disqualification | 17 CFR 275.206(4)-1(b)(3) |
| 206(4)-1(b)(4) | De Minimis Exemption | 17 CFR 275.206(4)-1(b)(4) |
| 206(4)-1(c)(1) | Third-Party Rating Reasonable Basis | 17 CFR 275.206(4)-1(c)(1) |
| 206(4)-1(c)(2) | Third-Party Rating Disclosure Requirements | 17 CFR 275.206(4)-1(c)(2) |
| 206(4)-1(d)(1) | Gross/Net Performance Requirement | 17 CFR 275.206(4)-1(d)(1) |
| 206(4)-1(d)(2) | Required Time Periods (1/5/10 Year) | 17 CFR 275.206(4)-1(d)(2) |
| 206(4)-1(d)(3) | Hypothetical Performance Requirements | 17 CFR 275.206(4)-1(d)(3) |
| 206(4)-1(d)(4) | Related Performance | 17 CFR 275.206(4)-1(d)(4) |
| 206(4)-1(d)(5) | Extracted Performance | 17 CFR 275.206(4)-1(d)(5) |
| 206(4)-1(d)(6) | Model Fee Requirements | 17 CFR 275.206(4)-1(d)(6) |
| 206(4)-1(d)(7) | Predecessor Performance | 17 CFR 275.206(4)-1(d)(7) |
| 204-2(a)(11) | Advertisement Retention | 17 CFR 275.204-2(a)(11) |
| 204-2(a)(16) | Performance Calculation Records | 17 CFR 275.204-2(a)(16) |
Compliant is not the same as worth reading.
A piece can clear a regulatory checkpoint and still lose the specificity that made it worth publishing. That does not prove review is the problem; the firm’s policies and reviewer judgment still govern. The narrower design question is whether a workup can distinguish a claim that must be removed from one that may be supported, narrowed, disclosed, or rewritten.
RIM enrichment is designed to make that choice visible. A finding can arrive with implicated provisions, operative language, risk and severity, substantiation posture, curability, and a recommended action. That does not mean every claim survives, or that a citation cures every defect. It means the reviewer can see the difference between a blocking requirement, an awareness item, and a claim whose support or wording may change the decision.
We prepare and cite. Your reviewer still decides what the firm says
One record, two review artifacts.
Shared screening and enrichment data support two purpose-built artifacts: an Advisor Action Brief focused on what the submitter needs to address, and a Compliance Decision Packet focused on evidence and regulatory context. Neither artifact approves the piece, and neither changes who makes the decision.
Rule 206(4)-1(d)(1) prohibits presenting gross performance unless net performance is also presented with at least equal prominence and in a format designed to facilitate comparison.
Net performance is missing. Before use, add net performance with at least equal prominence and in a format that permits comparison with the gross performance shown. Confirm the applicable periods and calculation methodology against the rule and firm policy.
Shared screening record. Separate reader purpose. Same firm decision.
Built to be extended, disciplined enough not to be yet.
The Regulatory Intelligence Matrix (RIM) is a released data artifact rather than a prompt. It carries release metadata, validates its shape before release, and stamps enrichment output with bundle and timestamp metadata. Findings map to provisions, and provisions carry the primary-source context used in enrichment. That makes a later workup traceable to the Matrix release that produced it without turning the Matrix itself into the firm’s system of record.
Five content modules—documents, slides, audio, video, and social posts—run on one current regulatory backbone. Shared structure does not mean automatic coverage of another regulatory regime. Today the public RIM register covers 20 provisions of the SEC Investment Adviser Marketing Rule and two related Books and Records provisions. Extending that scope would require a separately sourced, reviewed, and released Matrix.
Current scope: the SEC Investment Adviser Marketing Rule and two related Books and Records provisions
See it run against something you already argued about.
The register tells you what we evaluate. A workup tells you whether the evaluation is worth having.