SEC enforcement and rulemaking

AAERs

POSThttps://api.sec-api.io/aaers

Search every Accounting and Auditing Enforcement Release the SEC has published since 1997. Each record carries the release metadata, the respondents, the entities involved, the alleged violations, the penalties, and links to the original SEC documents.

Read the guide for this API →

Authentication

Send the API key either as a header or as a query parameter. The header is preferred; the query parameter exists for cases where a header cannot be set, such as opening a URL directly in a browser.

Authorization: required header

The API key on its own. Do not prefix it with Bearer or any other word.

Example Authorization: YOUR_API_KEY

token: optional query parameter

The API key, appended to the URL. Use this only when a header is not possible.

Request body

A JSON object. Content-Type must be application/json.

query: required string

The search expression in Lucene syntax, written as field:value. Every field listed under Searchable fields can be used, combined with AND, OR, NOT, ranges and wildcards.

Example respondents.name:"Plug Power"

from: string, Maximum 10000

Index of the first result to return, used for pagination. Increment by the value of size to page through results.

Default "0"

size: string, Maximum 50

Number of AAERs to return in one response.

Default "50"

sort: array of object

Sort order. Each item maps one field to an order object, for example [{ "dateTime": { "order": "desc" } }]. Results are sorted by release date and time descending by default, starting with the most recent AAER.

Default [{ "dateTime": { "order": "desc" } }]

order: string

Either asc or desc.

Searchable fields

Every field below can be used inside query. 27 fields are searchable, and they match the structure of the objects returned in the response.

Field	Description
`aaerNo`	AAER release number (e.g. "AAER-4558")
`releaseNo`	Other release numbers (e.g. "34-102226", "33-11356", "IA-6323")
`dateTime`	Publication date / time of the AAER (ISO 8601)
`summary`	Free-text summary of the AAER
`tags`	Tags — e.g. "insider trading", "accounting fraud", "audit failure"
`respondents.name`	Respondent name
`respondents.type`	Respondent type — "individual" or "company"
`respondentsText`	Comma-joined respondent names as a single string
`entities.name`	Entity name involved in the AAER
`entities.type`	Entity type — "individual", "company", or "other"
`entities.role`	Entity role — "respondent", "defendant", "auditor", etc.
`entities.cik`	Entity Central Index Key (CIK), when matched to a public company
`entities.ticker`	Entity ticker symbol, when matched to a public company
`complaints`	Free-text SEC complaints / allegations
`violatedSections`	Violated securities laws or rules
`requestedRelief`	Requested reliefs — e.g. "civil penalties", "cease-and-desist order"
`parallelActionsTakenBy`	Other agencies that took parallel actions (DOJ, etc.)
`hasAgreedToSettlement`	true if respondent agreed to settlement
`hasAgreedToPayPenalty`	true if respondent agreed to pay a penalty
`penaltyAmounts.penaltyAmount`	Numeric penalty amount in USD
`penaltyAmounts.penaltyAmountText`	Original penalty text (e.g. "$19 million")
`penaltyAmounts.imposedOn`	Party on which the penalty was imposed
`otherAgenciesInvolved.name`	Other agency name (e.g. FBI, DOJ Fraud Section)
`otherAgenciesInvolved.country`	Other agency country
`urls.type`	URL type — "primary", "Administrative Summary", "Press Release", etc.
`urls.url`	URL to original SEC document
`id`	Unique system-internal identifier of the AAER, for example dc5b96fb8b3c223b79d8181cab79a7cd.

Response

A JSON object. Nested attributes are collapsed; expand one to see its fields.

total: object

How many AAERs matched the query.

value: integer

Number of matching AAERs.

relation: string

Either eq, meaning value is exact, or gte, meaning value is a floor.

data: array of object

The matching AAERs, at most size per response and never more than 50.

id: string

Unique system-internal identifier of the AAER, for example dc5b96fb8b3c223b79d8181cab79a7cd.

aaerNo: string

AAER release number, for example AAER-4554.

releaseNo: array of string

Other release numbers linked to the AAER, such as litigation release numbers, for example ["33-11219", "34-98065", "IA-6323"].

dateTime: string

Release date and time of the AAER, ISO 8601 with a UTC offset, for example 2025-01-29T12:56:13-05:00.

respondents: array of object

The parties charged in the AAER.

respondentsText: string

The respondent names joined into a single string.

urls: array of object

Links to the original SEC documents of the AAER. The primary proceeding is always included.

summary: string

A short summary of the AAER.

tags: array of string

Tags describing the AAER, for example ["insider trading", "accounting fraud"].

entities: array of object

Every entity named in the enforcement action. This is broader than respondents and includes audited companies, employers and other involved parties.

complaints: array of string

The SEC complaints and allegations behind the AAER.

parallelActionsTakenBy: array of string

Other regulators or courts that took parallel action, for example ["Tokyo District Court"].

hasAgreedToSettlement: boolean

True if the respondent agreed to a settlement.

hasAgreedToPayPenalty: boolean

True if the respondent agreed to pay a penalty.

penaltyAmounts: array of object

The penalties imposed on the respondents.

requestedRelief: array of string

The reliefs the SEC requested, for example ["disgorgement", "cease and desist order"].

violatedSections: array of string

The securities laws and rules that were violated, for example ["Section 30A of the Exchange Act"].

otherAgenciesInvolved: array of object

Other regulators or organisations involved in the enforcement action. Populated only when other agencies took part.

Status codes

`200`	Success. The response holds total and data.
`400`	The request body could not be parsed, or the Lucene expression in query is malformed.
`403`	The API key is missing, or it is not valid.
`429`	Too many requests. Slow the request rate and retry.
`500`	Server error. Retry, and report it if it persists.

Request example

POST https://api.sec-api.io/aaers

{
  "query": "tags:\"accounting fraud\"",
  "from": "0",
  "size": "50",
  "sort": [{ "dateTime": { "order": "desc" } }]
}

from sec_api import AaerApi

aaerApi = AaerApi("YOUR_API_KEY")

response = aaerApi.get_data({
    "query": "tags:\"accounting fraud\"",
    "from": "0",
    "size": "50",
    "sort": [{"dateTime": {"order": "desc"}}],
})

import { aaerApi } from "sec-api";

aaerApi.setApiKey("YOUR_API_KEY");

const response = await aaerApi.getData({
  query: 'tags:"accounting fraud"',
  from: "0",
  size: "50",
  sort: [{ dateTime: { order: "desc" } }],
});

curl -X POST https://api.sec-api.io/aaers \
  -H "Authorization: YOUR_API_KEY" \
  -H "Content-Type: application/json" \
  -d '{
    "query": "tags:\"accounting fraud\"",
    "from": "0",
    "size": "50",
    "sort": [{ "dateTime": { "order": "desc" } }]
  }'

Response example

200 OK · application/json

{
  "total": { "value": 427, "relation": "eq" },
  "data": [
    {
      "id": "b2dfd65355cdf4c4a629103a211882ce",
      "dateTime": "2024-12-31T12:19:45-05:00",
      "aaerNo": "AAER-4554",
      "releaseNo": ["34-102060"],
      "respondents": [
        { "name": "Accell Audit & Compliance, PA", "type": "company" }
      ],
      "respondentsText": "Accell Audit & Compliance, PA",
      "urls": [
        {
          "type": "primary",
          "url": "https://www.sec.gov/files/litigation/admin/2024/34-102060.pdf"
        }
      ],
      "summary": "The SEC has instituted public administrative proceedings against Accell Audit & Compliance, PA, resulting in a suspension and a $75,000 penalty for failing to exercise due professional care in auditing Ignite International Brands, Ltd.'s financial statements.",
      "tags": ["auditing misconduct", "fraudulent financial reporting"],
      "entities": [
        {
          "name": "Accell Audit & Compliance, PA",
          "type": "company",
          "role": "respondent"
        },
        {
          "name": "Ignite International Brands, Ltd.",
          "type": "company",
          "role": "entity audited"
        }
      ],
      "complaints": [
        "Accell failed to exercise due professional care or skepticism, or to obtain sufficient appropriate audit evidence for a significant, unusual sale to an Ignite-related party that did not occur during the reporting period.",
        "Accell issued an unqualified audit opinion on Ignite's 2020 financial statements."
      ],
      "parallelActionsTakenBy": [],
      "hasAgreedToSettlement": true,
      "hasAgreedToPayPenalty": true,
      "penaltyAmounts": [
        {
          "penaltyAmount": "75000",
          "penaltyAmountText": "$75,000",
          "imposedOn": "Accell Audit & Compliance, PA"
        }
      ],
      "requestedRelief": [
        "suspension from appearing or practicing before the Commission"
      ],
      "violatedSections": [
        "Section 10(b) of the Exchange Act",
        "Rule 10b-5"
      ],
      "otherAgenciesInvolved": []
    }
  ]
}