SEC Regulatory Enforcement & Sanctions Tracker

Scrape, structure, and index SEC regulatory enforcement releases, litigation actions, administrative proceedings, and civil monetary penalty sanctions in real-time.

The SEC Regulatory Enforcement & Sanctions Tracker extracts structured compliance intelligence directly from SEC disclosures. It standardizes legal captions, named respondent entities/individuals, violation statutes (Securities Act, Exchange Act, Advisers Act), monetary fines, disgorgement totals, court jurisdictions, and canonical SEC document links.

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⚖️ Built For Compliance, Legal & Quant Teams

• Risk & KYC Screening: Ingest verified regulatory sanctions into internal compliance matrices and vendor risk audits.
• Litigation Tracking: Monitor federal district court and administrative cease-and-desist filings across financial institutions, crypto entities, and public corporations.
• Granular Penalty Filtering: Filter proceedings by monetary sanction thresholds (e.g. actions exceeding $10,000,000 USD) and release year.
• Pay-per-Event Pricing: Pay only for results retrieved ($0.005 per structured enforcement record). Zero monthly lock-in.
• AI & Agent Native: Compatible with Model Context Protocol (MCP) clients, RAG knowledge bases, and legal LLM pipelines.

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🛠️ Input Configuration

Field	Type	Default	Description
categories	Array	["all"]	Select proceedings: all, litigation-releases, administrative-proceedings, accounting-auditing, crypto-enforcement.
min_penalty_usd	Integer	0	Filter actions by minimum total penalty and disgorgement amount ($ USD).
max_records	Integer	50	Maximum number of regulatory records to extract (1 - 500).
year_filter	String	"all"	Filter by publication year: all, 2026, 2025, 2024, 2023.

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📊 Sample Output

{
  "action_id": "LR-26095",
  "release_title": "SEC v. Terraform Labs Pte Ltd. and Do Hyeong Kwon",
  "respondents": ["Terraform Labs Pte Ltd.", "Do Hyeong Kwon"],
  "category": "crypto-enforcement",
  "release_date": "2024-06-13",
  "violation_statutes": [
    "Securities Act Section 17(a)",
    "Exchange Act Section 10(b)",
    "Exchange Act Rule 10b-5"
  ],
  "penalty_amount_usd": 4470000000.0,
  "court_jurisdiction": "U.S. District Court for the Southern District of New York",
  "sec_release_url": "https://www.sec.gov/litigation/litreleases/lr-26095",
  "summary": "Final judgment ordering Terraform Labs and Kwon to pay over $4.47 billion in disgorgement and civil penalties following jury verdict of crypto securities fraud.",
  "scraped_at": "2026-09-04T02:00:00Z"
}

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💰 Pricing

This Actor utilizes Apify's Pay-Per-Event (PPE) pricing:

• Startup Cost: $0.00
• Per Result: $0.005 USD ($5.00 per 1,000 regulatory records)
• Volume Discounts: Enabled automatically for paying Apify platform subscribers.

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🚀 How to Run via API or Python

Python

from apify_client import ApifyClient

client = ApifyClient("YOUR_APIFY_TOKEN")
run = client.actor("papa_developers/sec-regulatory-enforcement-scraper").call(run_input={
    "categories": ["crypto-enforcement", "accounting-auditing"],
    "min_penalty_usd": 5000000,
    "max_records": 50
})

for item in client.dataset(run["defaultDatasetId"]).iterate_items():
    print(item["action_id"], "->", item["release_title"], "-> $", item["penalty_amount_usd"])