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feat: Add domain architecture and extract core services from Prism Console
## Domain Architecture - Complete domain-to-service mapping for 16 verified domains - Subdomain architecture for blackroad.systems and blackroad.io - GitHub organization mapping (BlackRoad-OS repos) - Railway service-to-domain configuration - DNS configuration templates for Cloudflare ## Extracted Services ### AIops Service (services/aiops/) - Canary analysis for deployment validation - Config drift detection - Event correlation engine - Auto-remediation with runbook mapping - SLO budget management ### Analytics Service (services/analytics/) - Rule-based anomaly detection with safe expression evaluation - Cohort analysis with multi-metric aggregation - Decision engine with credit budget constraints - Narrative report generation ### Codex Governance (services/codex/) - 82+ governance principles (entries) - Codex Pantheon with 48+ agent archetypes - Manifesto defining ethical framework ## Integration Points - AIops → infra.blackroad.systems (blackroad-os-infra) - Analytics → core.blackroad.systems (blackroad-os-core) - Codex → operator.blackroad.systems (blackroad-os-operator) 🤖 Generated with [Claude Code](https://claude.com/claude-code) Co-Authored-By: Claude <noreply@anthropic.com>
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Alexa Louise
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services/codex/entries/073-registration-workflows.md
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services/codex/entries/073-registration-workflows.md
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# Codex 73 — Registration Workflow Spine
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**Fingerprint:** `291cba39fd206b28e195046ec214b2ef53fe709ce083f20a2173139b47e210a2`
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## 2.0 Scope & Principles
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- **Single source of truth** for filings, fee clocks, and acceptance dates (IARD/CRD, SEC/State, FINRA).
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- **Human-in-the-loop** before every transmission; automation drafts, humans attest.
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- **Immutable evidence** (WORM) across drafts, submissions, receipts, and deficiency correspondence.
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- **Escalation** on deficiency letters, 30-/45-day timers, or statutory-disqualification flags.
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---
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## 2.1 Sub-Modules
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### 2.1.1 RIA Registration (State or SEC)
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**Inputs**
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- Entity profile (legal name, jurisdiction, ownership, addresses).
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- AUM forecast + client footprint (routes **state** vs **SEC** registration).
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- Supervisory roster; **IAR** roster with U4 data; disciplinary history.
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- Compliance documents (Code of Ethics, Policies & Procedures, Privacy, BCP, etc.).
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**Processes**
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1. **Jurisdiction routing:** decide **state** vs **SEC** and which states require firm & IAR registration (IARD decision tree).
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2. **Generate Form ADV drafts:**
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- **Part 1** (firm facts, ownership, control persons, business lines).
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- **Part 2A/2B** (plain-English brochures + IAR supplements).
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3. **IARD submissions:** queue fees, create filing package, gate final submission on human attestation.
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4. **U4 for each IAR:** prefill personal history, exams, fingerprints, disclosures; flag statutory disqualifiers and auto-escalate.
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5. **Deficiency handling loop:** parse regulator comments, assign tasks, track 30/45-day clocks, resubmit.
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6. **Post-effective tasks:** brochure delivery, books & records, signage, Form CRS, advisory agreements, fee billing rules.
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**Outputs**
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- IARD receipts (ADV filings), submitted PDFs, fee confirmations, approval/effective notices.
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- A dated, immutable **Registration Evidence Bundle**.
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---
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### 2.1.2 Broker-Dealer (BD) Registration (FINRA + SEC + States)
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**Inputs**
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- Entity + capital plan, **business lines**, clearing arrangement, **supervisory system/WSPs**, **two principals** minimum (unless sole prop), org chart, financials.
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- Locations needing **Form BR** (OSJ/non-OSJ branches), registered persons roster (U4s).
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**Processes**
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1. **Membership application flow (Form NMA + Form BD)** via FINRA Gateway; collect **Rule 1014** exhibits (business plan, financials, supervision, tech, clearing, training plan) and queue for **Pre-Membership Interview (PMI)**.
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2. **Personnel filings:** prepare U4, fingerprints, background checks; auto-flag statutory disqualification risks; prep **MC-400** if sponsoring an SD individual.
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3. **Branches:** prepare **Form BR** for each location; mark OSJ vs non-OSJ; ensure resident principal at OSJ; enforce 30-day notice on open/relocate/close.
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4. **Registration sequencing:**
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- SEC BD registration (**Form BD**; SEC has **45 days** to accept/deny).
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- FINRA membership decision after PMI (grant / grant with restrictions / deny).
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- State BD + agent registrations as required.
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5. **Membership Agreement / Restrictions:** capture permitted activities and restriction tracking (future CMA removals).
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6. **Continuing obligations:** designate Executive Representative; Rule 8210 readiness (document production + encryption); schedule net capital / fidelity bond monitoring and CE (reg + firm elements).
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**Outputs**
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- Approved **Form BD**, FINRA Membership Agreement, branch registrations, individual registrations, WSP attestation trail.
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---
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### 2.1.3 Individuals: U4 / U5 / Amendments
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- **U4 Intake:** identity, 10-year employment, 5-year residence, disciplinary history, fingerprints; verify last 3-year employment & character; manual signatures; **30-day** general amendment rule; **10-day** for SD-related updates.
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- **Fingerprints:** submit promptly; “inactive-prints” status if not received in **30 days**; three illegible rejections → exemption; retain 3 years post-termination.
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- **U5:** file within **30 days** of termination; provide copy to rep; amend upon new facts; onboarding firm must obtain prior U5 within **60 days** of U4 filing.
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- **CE:** Regulatory Element deadlines with inactive status trigger on misses; Firm Element plan & attestations tracked.
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---
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## 2.2 Workflow Graph (RIA + BD)
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```mermaid
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flowchart TD
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A[Choose scope: RIA only or RIA+BD] --> B[Jurisdiction decision: State vs SEC RIA]
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B --> C[Generate ADV Parts 1/2 & CRS]
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C --> D[IARD fee calc + queue]
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D --> E[Prep U4 for IARs + fingerprints]
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E --> F[Submit; handle deficiencies; approval]
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A --> G{Broker-Dealer?}
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G -- No --> H[Skip BD track]
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G -- Yes --> I[Prep Form NMA + Form BD package]
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I --> J[FINRA PMI + 1014 review]
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J --> K[Decision: grant/restrict/deny]
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K --> L[Form BR branches; U4s for reps/principals]
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L --> M[State BD/Agent registrations as needed]
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```
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---
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## 2.3 Guardrails & Escalations
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- **Statutory Disqualification Screening:** auto-scan U4 data for felony/financial-dishonesty misdemeanors (10 years), injunctions, expulsions; block submission; propose **MC-400** path if sponsorship pursued.
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- **Deadline Bots:**
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- Form U5 within **30 days** of termination.
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- U4 amendments: **30 days** (or **10** for SD issues).
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- SEC Form BD decision SLA **45 days**; branch updates **30 days**; archive all proofs.
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- **Two-principal rule:** prevent BD submission until two qualified principals confirmed (unless sole prop exception).
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- **Books/Records & Rule 8210:** auto-index evidence; encrypt portable media; store decryption keys separately.
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---
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## 2.4 Data Contracts (Schemas)
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**Firm Registration Object**
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```json
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{
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"firm": {
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"type": "RIA|BD|Dual",
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"jurisdictions": ["MN", "SEC"],
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"iard_crd_ids": {"IARD": "xxxx", "CRD": "yyyy"},
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"status": "Draft|Submitted|Effective|Restricted",
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"filings": [
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{"form": "ADV Part 1", "date": "2025-06-01", "hash": "…", "evidence": "…"},
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{"form": "ADV Part 2A", "date": "…"},
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{"form": "Form BD", "date": "…"},
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{"form": "NMA", "date": "…"},
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{"form": "BR", "date": "…"}
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],
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"deadlines": [
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{"item": "U5 due", "who": "Rep X", "due": "2025-07-10", "rule": "30-day"},
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{"item": "FINRA PMI", "due": "…"}
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],
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"restrictions": ["No options until ROP added"]
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}
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}
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```
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**Person Registration Object (U4)**
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```json
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{
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"person": {
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"name": "First Last",
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"role": "IAR|RR|Principal",
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"u4_status": "Draft|Submitted|Approved",
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"fingerprint": {"status": "Received|Inactive-prints", "date": "…"},
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"disclosures": [{"type": "Criminal", "age": "…", "details": "…"}],
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"sd_screen": {"result": "Clear|Flagged", "basis": "…"}
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}
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}
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```
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---
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## 2.5 API/Automation Pseudocode
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```python
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def decide_ria_scope(aum_forecast, client_states):
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return "SEC" if aum_forecast >= threshold or multi_state_logic(client_states) else "STATE"
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def build_adv_package(entity, ownership, business_lines):
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p1 = adv_part1(entity, ownership, business_lines)
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p2a, p2b = adv_brochures(entity)
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return [p1, p2a, p2b]
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def file_u4(person):
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check_required_fields(person)
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fp = submit_fingerprints(person)
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if fp.status == "inactive-prints":
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alert("Fingerprints missing, 30-day clock")
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submit_u4_to_crd(person)
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schedule_background_check(person)
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def prepare_bd_membership(firm):
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require_two_principals(firm) # unless sole prop
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nma = compile_nma_exhibits(firm)
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bd = form_bd(firm)
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queue_pmi(nma, bd)
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def handle_deficiency(letter):
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parse_issues(letter)
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assign_tasks()
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start_clock(days=30) # adjust per item
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resubmit()
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```
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---
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## 2.6 Post-Approval Automations
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- **RIA:** brochure delivery logs, books & records, advisory agreements, fee billing controls, privacy notice, Code of Ethics attestations, comms archiving, trade surveillance hooks.
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- **BD:** Membership Agreement permissions, WSP dissemination, OSJ supervision cadence, net capital monitoring, Form BR updates, CE calendar, U4/U5 lifecycle automations.
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---
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## 2.7 Source Mapping
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- **Form BD, membership/NMA, PMI, Rule 1014 exhibits; two principals; BR filings; 30-/45-day clocks; U4/U5/fingerprint rules; SD & MC-400; Executive Rep; Rule 8210; CE** — grounded in Series 24 material.
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- **SEC/Exchange registration timelines, Form BD 45-day window, exchange 90-day window, CRD/IARD ecosystem** — supported by Series 66 reference set.
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---
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## 2.8 Human Touchpoints
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- Narrative sections of ADV 2A/2B stay human-authored.
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- WSP & compliance policies require bespoke counsel review.
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- Responses to deficiency letters drafted with human context, automation assembles packages.
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- Any statutory-disqualification sponsorship must run through counsel before MC-400 submission.
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**Tagline:** Registration runs on rails, but signatures stay human.
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