SEC EDGAR Enforcement Actions & Company Filings — MCP Server

Access SEC EDGAR enforcement actions, company filings (10-K, 10-Q, 8-K, proxy statements), and SEC registration data directly from AI agents. No API key required — uses Apify PPE pricing.

View on Apify | MCP Endpoint

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SEC EDGAR provides public access to millions of SEC filings, enforcement actions, and company registration records. The Compliance Intelligence MCP Server bridges this data to AI agents, enabling automated compliance screening, due diligence, and regulatory research without manual SEC EDGAR navigation. Built for compliance teams, legal researchers, financial analysts, and AI developers building regulated-industry applications.

• Enforcement actions — search FDA and SEC enforcement actions by company name, product type, or classification code
• Company filings — pull 10-K annual reports, 10-Q quarterly filings, 8-K material events, proxy statements, and Form 4 insider filings
• Company registration — look up SEC CIK numbers, state of incorporation, SIC industry codes, and officer information
• No API keys — authenticate via Apify session cookies, no SEC EDGAR registration needed
• Pay per use — PPE model, no subscription, no monthly minimums

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Comparison

See how Compliance Intelligence MCP compares to Bloomberg Compliance and LexisNexis.

COMPARISON.md

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Features

• Enforcement Action Screening — search FDA warning letters, SEC AAERs (Administrative Actions and Decisional Orders), and corporate integrity agreements by company or individual name. Returns filing date, action type, description, and risk scoring.
• Full SEC Filing Retrieval — access 10-K annual reports, 10-Q quarterly filings, 8-K material event disclosures, DEF 14A proxy statements, and Form 4 insider trading filings directly from SEC EDGAR.
• Company Registration Lookup — resolve company names to SEC CIK numbers, look up state of incorporation, SIC codes, and officer rosters for any registered company.
• Risk Scoring — enforcement action results include risk level (LOW/MEDIUM/HIGH) and numeric risk scores to prioritize follow-up.
• FDA openFDA Integration — cross-search drug and medical device enforcement actions alongside SEC data for pharmaceutical and healthcare compliance.
• AI Agent Native — designed for LLMs: tool descriptions include when-to-call guidance and example AI prompts for each function.
• No API Key Required — uses Apify cookie-based authentication, no SEC EDGAR account needed.
• Structured JSON Output — every tool returns well-formed JSON with consistent fields for downstream processing.

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Quick Start

Add to your MCP client configuration:

{
  "mcpServers": {
    "compliance-intelligence-mcp": {
      "url": "https://compliance-intelligence-mcp.apify.actor/mcp"
    }
  }
}

Test the connection by asking your agent: "Show me any SEC enforcement actions involving Tesla or Elon Musk in the last 5 years."

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Tools

Tool	Price	Description
screen_entity	$0.08	SEC EDGAR enforcement actions for company or individual
get_company_filings	$0.05	SEC EDGAR filings: 10-K, 10-Q, 8-K, proxy, Form 4
get_company_info	$0.05	SEC EDGAR registration: CIK, SIC, state, officers

screen_entity

When to call: AI agent doing compliance screening, M&A due diligence, sanctions checking, or regulatory risk assessment.

Example AI prompt: "Show me any SEC enforcement actions involving Tesla or Elon Musk in the last 5 years. Include FDA warning letters for Pfizer."

Returns: Array of enforcement actions with filing date, action type, summary, risk score, and risk level.

get_company_filings

When to call: AI agent researching a company's financial disclosures, governance changes, or regulatory filings for investment analysis, compliance monitoring, or legal due diligence.

Example AI prompt: "Get the last 10 SEC filings for NVIDIA, including 10-K annual reports and 8-K material events filed in 2024."

Returns: List of filings with form type, filed date, description, and document URLs.

get_company_info

When to call: AI agent looking up a company's SEC registration details — CIK number, industry classification, state of incorporation, or officer roster.

Example AI prompt: "What's Apple's SEC registration — CIK number, state of incorporation, SIC description, and number of officers on file?"

Returns: Company registration object with CIK, names, state, SIC code, fiscal year end, and officer count.

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Input Parameters

screen_entity

Parameter	Type	Required	Description
company_name	string	Yes	Company or individual name to screen
max_results	integer	No	Maximum number of results (default: 10)
source	string	No	Filter by source: "SEC", "FDA", or "ALL" (default: "ALL")

get_company_filings

Parameter	Type	Required	Description
cik	string	Yes	SEC Central Index Key (10-digit, zero-padded)
form_type	string	No	Filter by form type: "10-K", "10-Q", "8-K", "DEF 14A", "Form 4"
max_results	integer	No	Maximum number of results (default: 10)

get_company_info

Parameter	Type	Required	Description
company_name	string	Yes	Company name to look up
cik	string	No	SEC CIK number (alternative to company_name)

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Output Format

All tools return structured JSON. Example screen_entity output:

{
  "company_name": "Pfizer",
  "total_actions": 3,
  "actions": [
    {
      "company_name": "Pfizer Inc.",
      "filed_date": "2023-06-15",
      "document_type": "AAER",
      "summary": "Accounting violations related to off-label promotion",
      "source": "SEC EDGAR"
    }
  ],
  "risk_score": 45,
  "risk_level": "MEDIUM"
}

Example get_company_filings output:

{
  "cik": "0000078518",
  "company_name": "PFIZER INC.",
  "total_filings": 5,
  "filings": [
    {
      "form_type": "10-K",
      "filed_date": "2024-02-15",
      "description": "Annual report",
      "accession_number": "0000078518-24-000012"
    }
  ]
}

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Pricing

Tool	Per Call
screen_entity	$0.08
get_company_filings	$0.05
get_company_info	$0.05

No subscription required. Pay per use via Apify Pay-Per-Event (PPE). No API keys or SEC EDGAR account needed.

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Data Sources

Source	What's Available	Update Frequency
SEC EDGAR	Enforcement actions (AAER), company filings, registration info	Real-time
FDA openFDA	Drug and device enforcement actions, warning letters	Monthly

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Troubleshooting

"Connection refused" or MCP timeout The actor may be cold-starting. Wait 30 seconds and retry. Apify standby mode keeps the actor warm between requests.

"CIK not found" for a valid company Some companies use different names in SEC EDGAR. Try searching with the full legal name or use the get_company_info tool to find the correct CIK first.

Empty results for enforcement actions Not all companies have enforcement records. Try a partial name match or search the FDA database which has broader coverage for pharmaceutical companies.

Rate limiting (429 errors) The actor uses polite scraping to avoid SEC EDGAR rate limits. If you hit rate limits, add a 5-10 second delay between requests or contact Apify support for higher limits.

Need CIK but only have company name Use get_company_info(company_name="Apple Inc.") to get the CIK, then pass it to get_company_filings(cik="0000321953").

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Example Calls

Screen Pfizer for enforcement actions

screen_entity(company_name="Pfizer", max_results=10)

Get NVIDIA filings

get_company_filings(cik="0001045810", form_type="10-K", max_results=5)

Look up Apple's SEC registration

get_company_info(company_name="Apple Inc.")

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Connect to AI Agents

Claude Desktop

Add to your Claude Desktop MCP settings (~/Library/Application Support/Claude/claude_desktop_config.json):

{
  "mcpServers": {
    "compliance-intelligence-mcp": {
      "url": "https://compliance-intelligence-mcp.apify.actor/mcp"
    }
  }
}

Cursor / Windsurf / Other MCP Clients

{
  "mcpServers": {
    "compliance-intelligence-mcp": {
      "url": "https://compliance-intelligence-mcp.apify.actor/mcp"
    }
  }
}

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