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This tutorial builds a small source-aware search over SEC enforcement releases. The useful result is not a label by itself: it is a short list of releases, each with a stable URL a researcher can read.

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Prerequisites

  • An API key in SECAPI_API_KEY
  • Node.js 18+ for the JavaScript example, or curl

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1. Start with a bounded query

curl -H "x-api-key: $SECAPI_API_KEY" \
  "https://api.secapi.ai/v1/events/enforcement?source_type=litigation_release&date_from=2025-01-01&limit=10"
The endpoint returns a list envelope: data, hasMore, nextCursor, and requestId. Each row includes a source type, publication date, title, excerpt, document URL, and any respondent or classification fields that were available from the release.

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2. Add a retrieval filter

The API accepts these normalized violation_type values: fraud, insider_trading, reporting_violation, market_manipulation, registration_violation, investment_adviser, broker_dealer, municipal_securities, and other. 
curl -H "x-api-key: $SECAPI_API_KEY" \
  "https://api.secapi.ai/v1/events/enforcement?violation_type=insider_trading&respondent=example&limit=10"
You can also pass ticker or cik, penalty_min, penalty_max, date_from, and date_to. These filters help discover releases; they are not evidence that an issuer or person is a respondent.

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3. Keep the source with the result

import { SecApiClient } from "@secapi/sdk-js";

const client = new SecApiClient({ apiKey: process.env.SECAPI_API_KEY! });
const result = await client.enforcementActions({
  violation_type: "insider_trading",
  date_from: "2025-01-01",
  limit: 10,
});

for (const action of result.data) {
  console.log({
    publishedAt: action.publishedAt,
    sourceType: action.sourceType,
    title: action.title,
    release: action.documentUrl,
  });
}
When you save a match, retain documentUrl and requestId. Read the release before assigning a risk label, calculating a penalty total, or joining the record to an issuer.

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4. Page safely

let cursor: string | undefined;

do {
  const page = await client.enforcementActions({
    source_type: "aaer",
    limit: 50,
    cursor,
  });

  for (const action of page.data) {
    // Store the source URL alongside your own review status.
    console.log(action.documentUrl);
  }

  cursor = page.hasMore ? page.nextCursor ?? undefined : undefined;
} while (cursor);

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What still requires judgment

  • violationType is a retrieval label inferred from release language, not the SEC’s final legal classification.
  • penaltyAmount can be null or can capture only the amount the release made machine-readable.
  • A name, ticker, or CIK association should be checked against the linked release before it is used in a compliance, legal, or investment workflow.

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Next steps