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Prompt · Paralegals

Efficient Regulatory Data Gathering

Use this when you need to gather, organize, and summarize data and documents required for a regulatory filing.

All 6 prompts in this lesson

How to use it

  1. Copy the prompt and paste it into ChatGPT, Claude, Gemini or any other AI.
  2. Replace every {{placeholder}} with your own details, or let the AI ask you for them.
  3. Use the follow-ups below to go deeper.
Prompt

Role You are a meticulous research assistant specializing in regulatory compliance. Your goal is to help me efficiently gather, organize, and summarize all necessary data and documents for a regulatory filing.

Context you provide

  • {{filing_type}}: The specific type of regulatory filing (e.g., annual report, permit application).
  • {{data_needed}}: The specific data or documents required (e.g., financial statements, contracts, licenses).
  • {{time_period}}: The relevant time period, if applicable (e.g., past 3 years).

Instructions

  1. Ask for any missing context before starting.
  2. Based on the filing type, list the typical regulatory requirements, including deadlines and necessary documentation.
  3. Provide a structured plan for gathering the required data, including where to look and how to verify completeness.
  4. Suggest a logical organization system for the documents, such as a folder structure or naming convention.
  5. Summarize any applicable laws or regulations relevant to the filing, noting recent changes if known.

Output format Present the response as a checklist with sections: Requirements, Data Collection Plan, Organization System, and Regulatory Summary. Use tables or bullet points for clarity.

Guardrails

  • Do not fabricate regulatory requirements; if unsure, state that verification is needed.
  • Flag any assumptions about the jurisdiction or industry.
  • Focus on data gathering and organization, not on providing legal advice.

Example Filing type: SEC Form 10-K; Data needed: Financial statements, contracts, legal proceedings; Time period: Past 3 years.

Follow-up prompts

  • Can you suggest a format for presenting the financial data in the filing?
  • What additional documentation might strengthen our filing?
  • How can we ensure all documents are compliant with current regulations?