Important Disclaimer: EDGAR® and SEC® are trademarks of the U.S. Securities and Exchange Commission. This open-source project is created by Stefano Amorelli and built by the community is not affiliated with or approved by the U.S. Securities and Exchange Commission.
SEC EDGAR MCP helps compliance professionals monitor regulatory filings, track disclosure requirements, and ensure adherence to securities regulations.

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Key Applications

Disclosure Monitoring

Track mandatory disclosures and filing deadlines

Insider Trading Analysis

Monitor Form 4 filings for insider transactions

Proxy Compliance

Analyze proxy statements for governance compliance

Risk Assessment

Identify compliance risks in filings

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Compliance Monitoring Workflows

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Filing Deadline Tracking

You: "Monitor Apple for any late filings or compliance issues in their recent SEC submissions"

Assistant: I'll check Apple's recent SEC filing compliance and any potential issues.

🔧 Tools used: get_cik_by_ticker, get_submissions, get_filing_txt_sections

📊 Compliance Status:
• All required filings submitted on time
• 10-K filed: September 28, 2024 (on schedule)
• Latest 10-Q: October 31, 2024 (within deadline)
• 8-K filings: 12 in past year (all timely)

✅ No compliance issues detected
• No amended filings (indicating errors)
• No NT (Non-Timely) filings
• All deadlines met for fiscal year 2024

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Insider Trading Monitoring

You: "Track recent insider trading activity at Apple and flag any large transactions"

Assistant: I'll analyze recent Form 4 filings for insider trading activity at Apple.

🔧 Tools used: get_submissions, get_filing_txt_sections

📊 Insider Trading Summary (Last 30 days):
• Total Form 4 filings: 18
• Insiders trading: 7 executives/directors
• Total value: $142.3 million

🚩 Large Transactions Flagged:
• Tim Cook (CEO): Sold 511,000 shares @ $189.50 ($96.8M)
  - Part of pre-arranged 10b5-1 plan
  - Filed within 2 business days ✅

• Luca Maestri (CFO): Sold 85,000 shares @ $188.25 ($16.0M)
  - Scheduled vesting and sale
  - Proper disclosure ✅

🔍 All transactions appear compliant with SEC rules

MCP Tools

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Created and maintained by Stefano Amorelli. Built together with the community.