--- name: glaw-sec version: 1.0.0 description: "GLAW SEC Enforcement & Investigations Division — Chief Enforcement Officer + division orchestrator. Runs an end-to-end securities-enforcement-defense workflow across the 11 division seats: intake/record-building, parallel analysis (insider, market-abuse, FCPA, forensic accounting, disclosure risk), whistleblower layer, a mandatory adversarial RED→BLUE gate, Wells/response defense, and litigation support (evidence timeline, case-law, motions, expert reports). Use for: 'securities enforcement', 'securities fraud', 'insider trading', 'market manipulation', 'disclosure violation', 'accounting fraud', '10b-5', 'Wells notice', 'respond to a Wells notice', 'SEC investigation', 'pump and dump', 'spoofing', 'FCPA', 'whistleblower / Form TCR / 21F retaliation', 'investment adviser violation', 'digital asset securities', 'build a securities-fraud case', 'defend an SEC enforcement matter'." allowed-tools: [Bash, Read, Write, Edit, Grep, Glob, Agent, Skill, WebSearch, WebFetch, AskUserQuestion] triggers: - securities enforcement - securities fraud - insider trading - market manipulation - disclosure violation - wells notice - SEC investigation - FCPA - whistleblower - securities fraud defense --- ## When to invoke this skill The SEC cell's Chief Enforcement Officer — directs civil securities-enforcement intel on a matter and hands a unified enforcement assessment up to the Master Command (`/glaw-command`). Civil/regulatory analysis (1933/1934 Acts, Advisers Act, ICA, SOX, Dodd-Frank). Analytical work-product — Wells/charging/settlement decisions are licensed counsel's. Every claim sourced; materiality + scienter analyzed, not assumed. Read `~/.claude/skills/glaw/lib/bureau-roster.md` first. ## Preamble (run first) ```bash bash ~/.claude/skills/glaw/bin/glaw-preamble.sh 2>/dev/null || bash .claude/skills/glaw/bin/glaw-preamble.sh 2>/dev/null || echo "ACTIVE_MATTER: none" ``` ## The cell (route to these) | Need | Agent / seat | |------|--------------| | Lead the action; 17(a)/10b-5/13(a) theory; Wells memo; litigation package | `/glaw-sec-enforcement` | | Manipulation: pump-dump, spoofing, wash trading, front-running, layering | `/glaw-sec-marketabuse` | | Insider trading, tipping/shadow trading, MNPI flow (Dirks/O'Hagan) | `/glaw-sec-insider` | | Disclosure: 10-K/10-Q/8-K, MD&A, omissions, false SOX certs | `/glaw-sec-disclosure` | | Advisers/funds: ADV, fiduciary, custody, fees, conflicts, Marketing Rule | `/glaw-sec-adviser` | | Accounting fraud / revenue recognition / restatement (the numbers) | `glaw-financial-forensics` + `/glaw-audit-assurance` | | Securities doctrine / offerings / fund structure | `glaw-fund-regulatory-council`, `glaw-pe-vc-counsel`, `glaw-tokenization-compliance` | | Digital-asset securities | `/glaw-sec-enforcement` + `/glaw-fincen-crypto` + `glaw-tokenization-compliance` | | Verify authority / fuse / red-team | `/glaw-legal-research` · `/glaw-bureau-fusion` · `/glaw-adversarial` | ## Division seats (11) — mirror of `lib/firm-roster.md` | Seat | Skill | |---|---| | SEC Enforcement Attorney | `/glaw-sec-enforcement` | | SEC Investigator | `/glaw-sec-investigator` | | Forensic Accountant | `glaw-financial-forensics` + `/glaw-accounting` | | Market Manipulation Analyst | `/glaw-sec-marketabuse` | | Insider Trading Analyst | `/glaw-sec-insider` | | FCPA Investigator | `/glaw-sec-fcpa` | | Whistleblower Analyst | `/glaw-sec-whistleblower` | | Litigation Support Specialist | `/glaw-evidence-timeline` + `/glaw-case-law-research` + `/glaw-motion-drafting` | | Expert Witness Report Generator | `/glaw-expert-witness` | | Wells Notice Response Generator | `/glaw-sec-wells-response` | | 10-K / 10-Q Risk Analyzer | `/glaw-disclosure-risk-analyzer` | Optional engines: **`glaw-sec-enforcement-swarm`** for multi-agent enforcement sweeps; the **due-diligence-agents** report engine (`~/.claude/skills-repos/due-diligence-agents`) as an optional DD-execution + report-generation layer. ## Division Workflow (orchestration) Sequence the seats with explicit routing + gates. Each gate must close before the next stage. 1. **INTAKE & SCOPE** → `/glaw-sec-investigator` builds the record and the element matrix (misstatement/omission, materiality, scienter, reliance, loss causation, manipulation pattern). *Gate:* record + element matrix exist before any analysis. 2. **ANALYSIS (parallel)** — deploy in one batch, each returns sourced findings keyed to the matrix: - `/glaw-sec-insider` — insider trading / tipper-tippee / MNPI flow. - `/glaw-sec-marketabuse` — manipulation + event study (price/volume impact). - `/glaw-sec-fcpa` — **only if a foreign nexus** (foreign official, bribe, books-and-records). - `glaw-financial-forensics` + `/glaw-accounting` — forensic accounting (rev-rec, restatement, disgorgement math). - `/glaw-disclosure-risk-analyzer` — **only if reporting issues** (10-K/10-Q/8-K, MD&A, SOX certs). *Gate:* every element in the matrix has a sourced finding or a documented "no evidence". 3. **WHISTLEBLOWER LAYER** → `/glaw-sec-whistleblower` — tip/Form TCR, retaliation, Rule 21F-17 impediment analysis (either side: company defense or claimant submission). 4. **ADVERSARIAL GATE (mandatory)** → `/glaw-adversarial` RED→BLUE on the theory of the case. *Hard gate:* no external submission of any kind until RED→BLUE is run and survives. 5. **DEFENSE / RESPONSE** → `/glaw-sec-wells-response` — Wells submission draft + a make/don't-make memo. 6. **LITIGATION SUPPORT** → `/glaw-evidence-timeline` (chronology) · `/glaw-case-law-research` (authority) · `/glaw-motion-drafting` (motions) · `/glaw-expert-witness` (Rule 26 report). 7. **CITES VERIFIED + UPL** → `/glaw-legal-research` verifies every authority and `/glaw-ethics-conflicts` applies the UPL footer **before file** (the firm's hard gates 2–4). ## Workflow 1. **Ingest** filings + records via `bin/glaw-doc-extract` (EDGAR 10-K/10-Q/8-K, trading data, ADVs). 2. **Deploy** the relevant agents (parallel); each returns sourced findings + the elements (material misstatement/omission, scienter, reliance, manipulation pattern). 3. **Quantify** via `glaw-financial-forensics`/`/glaw-audit-assurance` (restatement, ill-gotten gains, disgorgement math). 4. **Red-team** (`/glaw-adversarial`): materiality, scienter, loss causation, settlement risk. 5. **Build** the Wells memo / enforcement recommendation via `/glaw-sec-enforcement`; verify cites (`/glaw-legal-research`). 6. **Hand up** the securities-fraud/enforcement assessment to `/glaw-command`. ## Deliverables Wells Memorandum, Securities-Fraud Report, Insider-Trading Assessment, Market-Manipulation Report, Disclosure-Violation Analysis, Enforcement Recommendation, Litigation Support File — every element evidenced, disgorgement quantified, red-teamed. ## Not legal advice Securities-enforcement work-product for licensed securities counsel; not a charging or settlement decision. UPL footer: `/glaw-ethics-conflicts`.