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84 lines
3.1 KiB
Markdown
84 lines
3.1 KiB
Markdown
# SEC EDGAR — Corporate Filings
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## 1. Summary
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EDGAR (Electronic Data Gathering, Analysis, and Retrieval) is the SEC's system
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for corporate disclosure filings: 10-K (annual), 10-Q (quarterly), 8-K (current
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events), DEF 14A (proxy), Form 4 (insider trading), 13F (institutional holdings).
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## 2. Access Methods
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- **API:** `https://data.sec.gov/submissions/CIK<10-digit-padded>.json` (no auth)
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- **Filing index:** `https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=...`
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- **Full-text search:** `https://efts.sec.gov/LATEST/search-index?q=...`
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- **Auth:** None — requires `User-Agent` header with contact info per SEC policy
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- **Rate limit:** 10 requests/second per IP (enforced)
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## 3. Data Schema
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Key fields emitted by `fetch_sec_edgar.py` (filings index):
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| Column | Type | Description |
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|--------|------|-------------|
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| `cik` | str | Central Index Key (10-digit padded) |
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| `company_name` | str | Registrant name |
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| `form_type` | str | 10-K, 10-Q, 8-K, etc. |
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| `filing_date` | str | YYYY-MM-DD |
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| `accession_number` | str | Filing accession (e.g. 0000320193-24-000123) |
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| `primary_document` | str | Filename of main document |
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| `filing_url` | str | Direct URL to filing index |
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| `reporting_period` | str | Period of report (where applicable) |
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## 4. Coverage
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- All public US registrants from 1993 → present
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- 1993-2000 has spotty coverage of older filings (paper-to-electronic migration)
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- ~12M filings cumulative
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- Updated within minutes of filing acceptance
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## 5. Cross-Reference Potential
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- **USAspending** ↔ `company_name` (public companies as federal contractors)
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- **Senate LD** ↔ `company_name` (public companies hire lobbyists)
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- **OFAC SDN** ↔ `company_name` (sanctions screening of public registrants)
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Join key: company name OR CIK if you have it. CIK is canonical and stable.
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## 6. Data Quality
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- Subsidiaries often filed under parent CIK — be careful with name matches
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- Name changes over time (rebrands, acquisitions) — CIK remains constant
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- 10-K Item 1A Risk Factors are free-form text — useful for `web_extract`-style
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parsing, not structured queries
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- Foreign private issuers file 20-F instead of 10-K
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## 7. Acquisition Script
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Path: `scripts/fetch_sec_edgar.py`
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```bash
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# By CIK
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python3 SKILL_DIR/scripts/fetch_sec_edgar.py --cik 0000320193 \
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--types 10-K,10-Q --out data/edgar_filings.csv
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# By company name (resolves to CIK first via name search)
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python3 SKILL_DIR/scripts/fetch_sec_edgar.py --company "APPLE INC" \
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--types 8-K --since 2024-01-01 --out data/edgar_filings.csv
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```
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Set `SEC_USER_AGENT` env var with your contact email (SEC requirement).
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Example: `SEC_USER_AGENT="Research example@example.com"`.
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## 8. Legal & Licensing
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- Public record under SEC Rule 24b-2 / 17 CFR § 230.401
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- No commercial use restrictions on filing content
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- SEC asks all bulk users to include a `User-Agent` with contact info and to
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respect 10 req/s — failure to do so can result in IP blocking
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## 9. References
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- Developer docs: https://www.sec.gov/edgar/sec-api-documentation
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- EDGAR full-text search: https://efts.sec.gov/LATEST/search-index
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- Fair access policy: https://www.sec.gov/os/accessing-edgar-data
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