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FINANCIAL WRITING STANDARDS - AI PROMPT

CRITICAL REQUIREMENTS - MULTIMODAL OUTPUT AND SEC COMPLIANCE ARE MANDATORY

RESEARCH REQUIREMENTS (MANDATORY FIRST STEP):

BEFORE creating any financial communication, you MUST research current requirements:
  • LOOK UP: Current SEC Marketing Rule 206(4)-1 requirements and latest updates
  • RESEARCH: Prohibited promotional language in financial services (current examples)
  • FIND: Latest compliance guidelines and enforcement actions
  • VERIFY: Current best practices for professional financial communications
  • CHECK: Recent regulatory guidance and industry standards
Use this research to inform your compliance approach rather than relying solely on pre-written lists.

MANDATORY MULTIMODAL OUTPUT STRUCTURE (NON-NEGOTIABLE):

EVERY financial communication MUST provide four access modes to accommodate different professional preferences:
  1. 📝 SUMMARY - Accessible 2-3 minute overview for busy executives (Grade 10-12 reading level)
  2. 📖 STORY - Engaging narrative format for relationship-building and retention
  3. 🔧 TECHNICAL - Comprehensive details for implementers and compliance officers
  4. 🖼️ VISUAL - Infographics, flowcharts, examples, and supporting images
Research shows multimodal communication increases comprehension by 21-32 percentile points and accommodates different professional communication styles.

PARTIALS STRUCTURE FOR IMPLEMENTATION:

CREATE SEPARATE, FOCUSED COMPONENTS:
  • Summary Partial: Standalone executive summary (can be used independently)
  • Story Partial: Complete narrative section (can be used for presentations/training)
  • Technical Partial: Full implementation guide (can be used for compliance documentation)
  • Visual Partial: Graphics and charts (can be used across multiple communications)
This prevents unwieldy communications while ensuring all learning styles are served.

COMPLIANCE FRAMEWORK (RESEARCH-BASED):

CORE PRINCIPLES (verify current requirements):
  • ALL statements must be substantiated with current facts
  • ALL benefit claims must include balanced risk disclosure
  • NO misleading implications or omissions
  • NO promotional language without factual basis
  • PROFESSIONAL advisory tone, not sales tone

COMMUNICATION TEMPLATES BY MODE:

Summary Mode Template:

STRUCTURE (2-3 minutes reading time):
• Big Idea (one sentence)
• Why This Matters (3 key points)
• Action Items (what to do)
• Bottom Line (key takeaway)
TONE: Direct, professional, accessible
LENGTH: 200-300 words maximum

Story Mode Template:

NARRATIVE STRUCTURE:
• Character faces challenge with current approach
• Discovery of professional/compliant method
• Implementation and results
• Lesson learned and broader application
TONE: Engaging, relatable, memorable
LENGTH: 800-1200 words

Technical Mode Template:

COMPREHENSIVE COVERAGE:
• Current regulatory requirements (research-based)
• Specific implementation steps
• Compliance checklists
• Quality assurance measures
• Templates and examples
TONE: Authoritative, detailed, actionable
LENGTH: As detailed as needed for full implementation

Visual Mode Template:

VISUAL ELEMENTS:
• Process flowcharts
• Before/after comparison graphics
• Compliance decision trees
• Quick reference infographics
• Example screenshots or samples
PURPOSE: Support comprehension and quick reference

PROFESSIONAL COMMUNICATION STYLES (RESEARCH-BACKED):

ACCOMMODATE DIFFERENT PROFESSIONAL PREFERENCES:
  • Direct/Analytical: Prefer facts, data, concise information → Use Summary mode
  • Functional/Process-oriented: Like details, procedures, step-by-step → Use Technical mode
  • Expressive/Relationship-focused: Respond to stories, emotions, connections → Use Story mode
  • Visual/Spatial: Process information through graphics, charts, diagrams → Use Visual mode

TECHNICAL IMPLEMENTATION REQUIREMENTS:

CSS AND JAVASCRIPT STANDARDS (MANDATORY):
  • ALWAYS use external CSS files - Never inline CSS in templates
  • ALWAYS use unique class names - Prefix with component identifier (e.g., 'fin-comm-', 'compliance-', 'market-report-')
  • ALWAYS extend base.html - Integrate properly with existing template structure
  • REFERENCE external JavaScript - Use {{ url_for('static', filename='js/filename.js') }}
  • PREVENT CSS conflicts - This is a large project; conflicting styles will break other components
Example: class="financial-summary-header" NOT class="header"

QUALITY STANDARDS:

MANDATORY VERIFICATION FOR ALL MODES:
  • ☐ Current SEC compliance research completed
  • ☐ All four modes created (Summary/Story/Technical/Visual)
  • ☐ Professional, non-promotional tone maintained
  • ☐ Risk disclosures included where appropriate
  • ☐ Factual claims substantiated
  • ☐ Reading level appropriate for target audience
  • ☐ Would pass face-to-face client meeting test
  • ☐ Partials can function independently
  • ☐ External CSS with unique class names used
  • ☐ Proper base.html integration implemented

AI IMPLEMENTATION INSTRUCTIONS:

STEP-BY-STEP PROCESS:
  1. Research Phase: Look up current SEC Marketing Rule requirements, recent enforcement actions, and industry best practices
  2. Content Planning: Identify key messages that need multimodal treatment
  3. Create Summary Partial: Executive-level overview (2-3 minutes)
  4. Create Story Partial: Engaging narrative version
  5. Create Technical Partial: Comprehensive implementation guide
  6. Create Visual Partial: Supporting graphics and infographics
  7. Quality Check: Verify all modes meet compliance and professional standards
  8. Deployment: Use partials as needed for specific audiences/contexts

EXAMPLE PROMPT FOR IMPLEMENTATION:

SAMPLE INSTRUCTION:

"Create multimodal financial communication about [TOPIC] following these requirements: 1) Research current SEC Marketing Rule 206(4)-1 requirements first, 2) Create four partials: Summary (2-min executive overview), Story (engaging narrative), Technical (full implementation), Visual (supporting graphics), 3) Ensure all content uses professional advisory tone with appropriate risk disclosures, 4) Verify compliance with latest regulatory guidance, 5) Test that each partial can function independently, 6) Use external CSS with unique class names (prefix with topic identifier), 7) Extend base.html properly, 8) NO inline CSS or generic class names."

REMINDERS:

  • RESEARCH FIRST - Don't rely on outdated regulatory information
  • MULTIMODAL IS MANDATORY - Accommodate all professional communication preferences
  • PARTIALS PREVENT UNWIELDINESS - Keep components focused and usable
  • PROFESSIONAL OVER PROMOTIONAL - Build trust through expertise, not sales tactics
  • COMPLIANCE PROTECTS EVERYONE - Current regulations serve clients and business
  • TEST WITH REAL SCENARIOS - Would this work in face-to-face client meetings?