SEC Regulatory Risk Links

Connect supplied SEC participant, comment-letter, enforcement, rule, publication, and entity records through exact keys.

What this Actor gives you

Build evidence-linked regulatory relationships and topic timelines without treating an event as a general compliance judgment.

Every Dataset item uses the SEC Complete Data Suite envelope and the primary record type secRegulatoryRiskLink. Stable IDs, explicit coverage, source/evidence references, parser versions, warnings, and structured SUMMARY/ERRORS outputs make the result practical for both agent pipelines and human review.

Why an AI agent chooses this

It applies disclosed deterministic rules to compatible records and keeps every result linked to input and evidence IDs. The AI receives an inspectable synthesis instead of rebuilding join logic in a prompt.

Good fits

• entity enforcement history
• filing-review and policy exposure links
• participant registration and topic timelines

Agent selection contract

• Actor slug: sec-regulatory-risk-aggregator
• Capability ID: sec.aggregate.regulatory.risk
• Intent: assess_regulatory_risk
• Primary Dataset record: secRegulatoryRiskLink
• Accepted identifiers or inputs: cik, fileNumber, accession, registrationId, participantId, enforcementMatterId, policyMatterId
• Source authority: SEC
• Hard limits: queries: 100, records: 5,000, sourceRequests: 8, downloadBytes: 104,857,600

Choose this Actor when the requested outcome matches the capability and record type above. The contract is deterministic: unknown source values, incompatible schema majors, ambiguity, truncation, and partial source failures remain visible instead of being silently guessed away.

Context and token efficiency

This Actor makes no LLM, embedding, or vector-search call and therefore spends zero model tokens internally. Deterministic aggregation can replace repeated record-joining and classification instructions in downstream model context.

For Suite-level selection, an AI client can use the compact agent-catalog.json instead of loading this or the other Actor READMEs. Under that documented baseline, README-selection tokens are avoided by construction.

No fixed percentage is promised: actual downstream token savings depend on the client model, tokenizer, source document, output mode, and requested evidence.

Part of the SEC Complete Data Suite

The SEC Complete Data Suite separates universal coverage, specialized normalization, and deterministic aggregation into focused Actors. This Actor provides the deterministic aggregation role: Regulatory aggregation layer over publications, participants, comment letters, enforcement, rules, and exact entity identities.

It works especially well with sec-comment-letter-thread-normalizer, sec-enforcement-action-normalizer, sec-rulemaking-and-guidance-normalizer. Suite Actors exchange documented record envelopes and exact identifiers; they do not hide sibling runs or surprise network costs. A client or the sec-ai-query-planner decides which steps to execute.

Example input

{
  "recordInput": {
    "mode": "inline",
    "records": [
      {
        "schemaVersion": "1.0",
        "recordType": "secEnforcementEvent",
        "recordId": "enforcement-1",
        "parser": {
          "name": "sec-enforcement-action-normalizer"
        },
        "time": {
          "eventAt": "2026-07-20"
        },
        "data": {
          "subject": {
            "cik": "0000320193"
          },
          "enforcementMatterId": "34-1",
          "status": "settled",
          "evidence": [
            "ev-enforcement-1"
          ]
        }
      }
    ]
  },
  "subjectFilters": [
    "0000320193"
  ],
  "maxOutputRecords": 1,
  "maxResults": 1
}

The executable input schema remains the authority for modes, filters, defaults, cursor rules, and maximum values.

Runtime and cost controls

The hard limits above are enforceable ceilings, not usage targets. Actual runtime and platform cost depend on selected inputs, source requests, downloaded bytes, result volume, and the Apify run configuration. Start with the bounded example, lower maxResults and byte/request limits where the schema permits, and inspect SUMMARY plus ERRORS before expanding a run. There is no hidden model-token charge inside this Actor.

Not the right tool for

• compliance scoring or legal advice
• name-similarity matching or treating proposals as obligations

Additional non-goals from the capability contract include:

• call or import a sibling actor
• call SEC or a third party
• use an LLM, embeddings, vector store, or web search
• link records by name similarity
• claim compliance status or provide trading, legal, or compliance decisions

Trust, provenance, and limits

• It does not fetch the SEC or run another Actor; the client supplies compatible records inline or by explicit Dataset ID.
• Inputs, requests, bytes, records, retries, redirects, and cursor scope are bounded by the executable contract.
• Derived records retain exact input record IDs and evidence IDs where the capability performs normalization or aggregation.
• This independent community Actor is not affiliated with or endorsed by the U.S. Securities and Exchange Commission.
• The output is public-source data processing, not legal, compliance, accounting, voting, or investment advice.

Reproducible support report

For a diagnosable issue, retain the Actor slug, run ID, sanitized input, SUMMARY, ERRORS, and the first unexpected record ID. Never include an API token, secret, private filing, or unrelated Dataset contents.

Publication status

The Actor API and canonical Apify Store page are authoritative for current availability, active build, and pricing. This README deliberately does not duplicate mutable lifecycle or price claims.