# Compliance Intelligence MCP — AI Agent SEC EDGAR Intelligence (`red.cars/compliance-intelligence-mcp`) Actor Query SEC enforcement actions, company filings, and sanctions lists. One tool call for AI agent financial compliance research. - **URL**: https://apify.com/red.cars/compliance-intelligence-mcp.md - **Developed by:** [AutomateLab](https://apify.com/red.cars) (community) - **Categories:** MCP servers, AI - **Stats:** 1 total users, 0 monthly users, 0.0% runs succeeded, NaN bookmarks - **User rating**: No ratings yet ## Pricing Pay per usage This Actor is paid per platform usage. The Actor is free to use, and you only pay for the Apify platform usage, which gets cheaper the higher subscription plan you have. Learn more: https://docs.apify.com/platform/actors/running/actors-in-store#pay-per-usage ## What's an Apify Actor? Actors are a software tools running on the Apify platform, for all kinds of web data extraction and automation use cases. In Batch mode, an Actor accepts a well-defined JSON input, performs an action which can take anything from a few seconds to a few hours, and optionally produces a well-defined JSON output, datasets with results, or files in key-value store. In Standby mode, an Actor provides a web server which can be used as a website, API, or an MCP server. Actors are written with capital "A". ## How to integrate an Actor? If asked about integration, you help developers integrate Actors into their projects. You adapt to their stack and deliver integrations that are safe, well-documented, and production-ready. The best way to integrate Actors is as follows. In JavaScript/TypeScript projects, use official [JavaScript/TypeScript client](https://docs.apify.com/api/client/js.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python.md): ```bash pip install apify-client ``` In shell scripts, use [Apify CLI](https://docs.apify.com/cli/docs.md): ````bash # MacOS / Linux curl -fsSL https://apify.com/install-cli.sh | bash # Windows irm https://apify.com/install-cli.ps1 | iex ```bash In AI frameworks, you might use the [Apify MCP server](https://docs.apify.com/platform/integrations/mcp.md). If your project is in a different language, use the [REST API](https://docs.apify.com/api/v2.md). For usage examples, see the [API](#api) section below. For more details, see Apify documentation as [Markdown index](https://docs.apify.com/llms.txt) and [Markdown full-text](https://docs.apify.com/llms-full.txt). # README ## Compliance Intelligence MCP Server > SEC EDGAR intelligence for AI agents — enforcement actions, company filings, and SEC registration lookup. No API key required. **[View on Apify](https://apify.com/red.cars/compliance-intelligence-mcp)** | **[MCP Endpoint](https://compliance-intelligence-mcp.apify.actor/mcp)** --- ### What It Does Give AI agents direct access to SEC EDGAR — enforcement actions, company filings, and SEC registration data for compliance, due diligence, and regulatory monitoring. - **Enforcement actions** — search FDA/SEC enforcement actions by company, product type, or classification - **Company filings** — pull 10-K, 10-Q, 8-K, proxy statements from SEC EDGAR - **Company info** — SEC registration, CIK, state of incorporation, SIC codes, officers --- ### Quick Start Add to your MCP client: ```json { "mcpServers": { "compliance-intelligence-mcp": { "url": "https://compliance-intelligence-mcp.apify.actor/mcp" } } } ```` *** ### 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, or regulatory risk assessment. **Example AI prompt:** "Show me any SEC enforcement actions involving Tesla or Elon Musk in the last 5 years." #### get\_company\_filings **When to call:** AI agent researching a company's financial disclosures, governance changes, or regulatory filings. **Example AI prompt:** "Get the last 10 SEC filings for NVIDIA, including 10-K annual reports and 8-K material events." #### get\_company\_info **When to call:** AI agent looking up a company's SEC registration details — CIK, industry classification, state of incorporation. **Example AI prompt:** "What's Apple's SEC registration — CIK, state of incorporation, and SIC description?" *** ### Data Sources | Source | What's Available | |--------|-----------------| | SEC EDGAR | Enforcement actions, company filings, registration info | | FDA openFDA | Drug and device enforcement actions | *** ### Pricing | Tool | Per Call | |------|----------| | `screen_entity` | $0.08 | | `get_company_filings` | $0.05 | | `get_company_info` | $0.05 | No subscription. Pay per use via Apify PPE. No API keys required. *** ### Example Calls #### Screen for enforcement actions ``` screen_entity(company_name="Pfizer", max_results=10) ``` Returns: ```json { "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" } ], "risk_score": 45, "risk_level": "MEDIUM", "sources": ["SEC EDGAR"] } ``` #### Get company filings ``` get_company_filings(cik="0000078518", form_type="10-K", max_results=5) ``` Returns: ```json { "cik": "0000078518", "company_name": "PFIZER INC.", "total_filings": 5, "filings": [ { "form_type": "10-K", "filed_date": "2024-02-15", "description": "Annual report" } ] } ``` *** ### Connect to AI Agents #### Claude Desktop / Cursor / Windsurf ```json { "mcpServers": { "compliance-intelligence-mcp": { "url": "https://compliance-intelligence-mcp.apify.actor/mcp" } } } ``` *** ### SEO Keywords SEC EDGAR API, SEC enforcement actions, company filings API, AI agent compliance, EDGAR company search, SEC registration lookup, CIK lookup, corporate compliance automation, M\&A due diligence, regulatory monitoring, AI agent SEC research # Actor input Schema ## `tool` (type: `string`): MCP tool to call ## `params` (type: `object`): Tool parameters as JSON object ## Actor input object example ```json { "tool": "screen_entity", "params": { "company_name": "Apple Inc.", "cik": "0000320193" } } ``` # API You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup. ## JavaScript example ```javascript import { ApifyClient } from 'apify-client'; // Initialize the ApifyClient with your Apify API token // Replace the '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "tool": "screen_entity", "params": { "company_name": "Apple Inc.", "cik": "0000320193" } }; // Run the Actor and wait for it to finish const run = await client.actor("red.cars/compliance-intelligence-mcp").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`💾 Check your data here: https://console.apify.com/storage/datasets/${run.defaultDatasetId}`); const { items } = await client.dataset(run.defaultDatasetId).listItems(); items.forEach((item) => { console.dir(item); }); // 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/js/docs ``` ## Python example ```python from apify_client import ApifyClient # Initialize the ApifyClient with your Apify API token # Replace '' with your token. client = ApifyClient("") # Prepare the Actor input run_input = { "tool": "screen_entity", "params": { "company_name": "Apple Inc.", "cik": "0000320193", }, } # Run the Actor and wait for it to finish run = client.actor("red.cars/compliance-intelligence-mcp").call(run_input=run_input) # Fetch and print Actor results from the run's dataset (if there are any) print("💾 Check your data here: https://console.apify.com/storage/datasets/" + run["defaultDatasetId"]) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item) # 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start ``` ## CLI example ```bash echo '{ "tool": "screen_entity", "params": { "company_name": "Apple Inc.", "cik": "0000320193" } }' | apify call red.cars/compliance-intelligence-mcp --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=red.cars/compliance-intelligence-mcp", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "Compliance Intelligence MCP — AI Agent SEC EDGAR Intelligence", "description": "Query SEC enforcement actions, company filings, and sanctions lists. One tool call for AI agent financial compliance research.", "version": "1.0", "x-build-id": "Kbbc8orDTejwLfeRj" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/red.cars~compliance-intelligence-mcp/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-red.cars-compliance-intelligence-mcp", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for its completion, and returns Actor's dataset items in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/red.cars~compliance-intelligence-mcp/runs": { "post": { "operationId": "runs-sync-red.cars-compliance-intelligence-mcp", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/red.cars~compliance-intelligence-mcp/run-sync": { "post": { "operationId": "run-sync-red.cars-compliance-intelligence-mcp", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } } }, "components": { "schemas": { "inputSchema": { "type": "object", "properties": { "tool": { "title": "Tool Name", "enum": [ "screen_entity", "get_company_filings", "get_company_info" ], "type": "string", "description": "MCP tool to call" }, "params": { "title": "Parameters (JSON)", "type": "object", "description": "Tool parameters as JSON object" } } }, "runsResponseSchema": { "type": "object", "properties": { "data": { "type": "object", "properties": { "id": { "type": "string" }, "actId": { "type": "string" }, "userId": { "type": "string" }, "startedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "finishedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "status": { "type": "string", "example": "READY" }, "meta": { "type": "object", "properties": { "origin": { "type": "string", "example": "API" }, "userAgent": { "type": "string" } } }, "stats": { "type": "object", "properties": { "inputBodyLen": { "type": "integer", "example": 2000 }, "rebootCount": { "type": "integer", "example": 0 }, "restartCount": { "type": "integer", "example": 0 }, "resurrectCount": { "type": "integer", "example": 0 }, "computeUnits": { "type": "integer", "example": 0 } } }, "options": { "type": "object", "properties": { "build": { "type": "string", "example": "latest" }, "timeoutSecs": { "type": "integer", "example": 300 }, "memoryMbytes": { "type": "integer", "example": 1024 }, "diskMbytes": { "type": "integer", "example": 2048 } } }, "buildId": { "type": "string" }, "defaultKeyValueStoreId": { "type": "string" }, "defaultDatasetId": { "type": "string" }, "defaultRequestQueueId": { "type": "string" }, "buildNumber": { "type": "string", "example": "1.0.0" }, "containerUrl": { "type": "string" }, "usage": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "integer", "example": 1 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } }, "usageTotalUsd": { "type": "number", "example": 0.00005 }, "usageUsd": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "number", "example": 0.00005 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } } } } } } } } } ```