SEC enforcement and rulemaking

Enforcement Actions

POSThttps://api.sec-api.io/sec-enforcement-actions

Search every SEC enforcement action published since 1997, including administrative proceedings, orders, complaints and civil actions. Each action is returned as structured JSON with the charged parties, the charges, penalty amounts, requested reliefs and the violated securities laws. The dataset holds more than 10,000 actions and is updated as the SEC publishes new ones.

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 entities.ticker:ADM

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 enforcement actions to return in one response.

Default "50"

sort: array of object

Sort order. Each item maps one field to an order object, for example [{ "releasedAt": { "order": "desc" } }]. Sortable fields are releasedAt and penaltyAmounts.penaltyAmount.

Default [{ "releasedAt": { "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
`releaseNo`	SEC release number (e.g. "2011-279")
`releasedAt`	Publication date / time (ISO 8601)
`title`	Title of the enforcement action
`summary`	Free-text summary of the action
`tags`	Tags — e.g. "bribery", "insider trading", "FCPA"
`url`	URL of the original SEC press release
`entities.name`	Entity name involved in the action
`entities.type`	Entity type — "individual", "company", or "other"
`entities.role`	Entity role — "respondent", "defendant", or "other"
`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 / charges
`violatedSections`	Violated securities laws or rules
`requestedRelief`	Requested reliefs — e.g. "civil penalties", "disgorgement of profits"
`parallelActionsTakenBy`	Other agencies that took parallel actions (e.g. DOJ)
`hasAgreedToSettlement`	true if defendant agreed to settlement
`hasAgreedToPayPenalty`	true if defendant agreed to pay a penalty
`penaltyAmounts.penaltyAmount`	Numeric penalty amount in USD
`penaltyAmounts.penaltyAmountText`	Original penalty text (e.g. "$31.2 million")
`penaltyAmounts.imposedOn`	Party on which the penalty was imposed
`investigationConductedBy`	Persons or offices that conducted the investigation
`litigationLedBy`	Persons or offices that litigated the case
`otherAgenciesInvolved.name`	Other agency name (FBI, BaFin, etc.)
`otherAgenciesInvolved.country`	Other agency country
`resources.label`	Resource label (e.g. "SEC Complaint", "Litigation Release")
`resources.url`	URL to a related document
`id`	System-internal unique identifier of the enforcement action.

Response

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

total: object

How many enforcement actions matched the query.

value: integer

Number of matching enforcement actions.

relation: string

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

data: array of object

The matching enforcement actions, at most size per response. One item represents one action published by the SEC.

id: string

System-internal unique identifier of the enforcement action.

releaseNo: string

SEC release number of the enforcement action, for example 2011-279.

releasedAt: string

Publication date and time of the action, formatted as yyyy-MM-ddTHH:mm:ssXXX, for example 2024-08-27T13:30:00-04:00. Records published before 2012 carry the date part only, for example 2011-12-29.

url: string

URL of the original SEC press release.

title: string

Title of the enforcement action.

summary: string

Short summary of the enforcement action.

tags: array of string

Tags describing the action, for example bribery, insider trading or crypto.

resources: array of object

Links to related documents, such as SEC orders, complaints and litigation releases.

entities: array of object

The parties involved in the enforcement action.

complaints: array of string

The complaints or charges filed in the action, one sentence per item.

violatedSections: array of string

Securities laws the defendants are charged with violating, for example Section 10(b) of the Securities Exchange Act of 1934 or Foreign Corrupt Practices Act (FCPA).

requestedRelief: array of string

The reliefs the SEC requested, for example disgorgement of profits, injunction or civil penalty.

parallelActionsTakenBy: array of string

Other agencies that took parallel actions, for example U.S. Department of Justice when criminal charges were brought.

hasAgreedToSettlement: boolean

True when the defendant agreed to a settlement.

hasAgreedToPayPenalty: boolean

True when the defendant agreed to pay a penalty.

penaltyAmounts: array of object

The penalties imposed. One action can carry several penalties, for example when several defendants are involved.

investigationConductedBy: array of string

Persons or offices that conducted the investigation leading to the action.

litigationLedBy: array of string

Persons or offices that litigated the case.

otherAgenciesInvolved: array of object

Other agencies involved in the investigation or the action, for example the Swiss Office of the Attorney General when foreign authorities cooperated.

Status codes

`200`	Success. The response holds total and data.
`400`	The request body could not be parsed, the Lucene expression in query is malformed, or size is above 50.
`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/sec-enforcement-actions

{
  "query": "releasedAt:[2024-01-01 TO 2024-12-31]",
  "from": "0",
  "size": "50",
  "sort": [{ "releasedAt": { "order": "desc" } }]
}

from sec_api import SecEnforcementActionsApi

secEnforcementActionsApi = SecEnforcementActionsApi("YOUR_API_KEY")

response = secEnforcementActionsApi.get_data({
    "query": "releasedAt:[2024-01-01 TO 2024-12-31]",
    "from": "0",
    "size": "50",
    "sort": [{"releasedAt": {"order": "desc"}}],
})

import { secEnforcementActionsApi } from "sec-api";

secEnforcementActionsApi.setApiKey("YOUR_API_KEY");

const response = await secEnforcementActionsApi.getData({
  query: "releasedAt:[2024-01-01 TO 2024-12-31]",
  from: "0",
  size: "50",
  sort: [{ releasedAt: { order: "desc" } }],
});

curl -X POST https://api.sec-api.io/sec-enforcement-actions \
  -H "Authorization: YOUR_API_KEY" \
  -H "Content-Type: application/json" \
  -d '{
    "query": "releasedAt:[2024-01-01 TO 2024-12-31]",
    "from": "0",
    "size": "50",
    "sort": [{ "releasedAt": { "order": "desc" } }]
  }'

Response example

200 OK · application/json

{
  "total": {
    "value": 137,
    "relation": "eq"
  },
  "data": [
    {
      "id": "7efc54567587f7930a3e3c1919b5ed8e",
      "releaseNo": "2024-212",
      "releasedAt": "2024-12-20T17:25:11-05:00",
      "url": "https://www.sec.gov/newsroom/press-releases/2024-212",
      "title": "Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD",
      "resources": [
        {
          "label": "SEC Order",
          "url": "https://www.sec.gov/files/litigation/admin/2024/33-11349.pdf"
        }
      ],
      "summary": "The SEC charged Tai Mo Shan Limited with misleading investors about the stability of Terra USD and acting as a statutory underwriter for LUNA crypto assets, resulting in a $123 million settlement.",
      "tags": ["disclosure fraud", "crypto", "unregistered securities"],
      "entities": [
        {
          "name": "Tai Mo Shan Limited",
          "type": "company",
          "role": "defendant"
        },
        {
          "name": "Terraform Labs PTE Ltd.",
          "type": "company",
          "role": "other"
        },
        {
          "name": "Do Kwon",
          "type": "individual",
          "role": "other"
        }
      ],
      "complaints": [
        "Tai Mo Shan misled investors about the stability of Terra USD.",
        "Tai Mo Shan acted as a statutory underwriter in distributing LUNA crypto assets."
      ],
      "parallelActionsTakenBy": [],
      "hasAgreedToSettlement": true,
      "hasAgreedToPayPenalty": true,
      "penaltyAmounts": [
        {
          "penaltyAmount": "73452756",
          "penaltyAmountText": "$73,452,756",
          "imposedOn": "Tai Mo Shan Limited"
        },
        {
          "penaltyAmount": "12916153",
          "penaltyAmountText": "$12,916,153",
          "imposedOn": "Tai Mo Shan Limited"
        },
        {
          "penaltyAmount": "36726378",
          "penaltyAmountText": "$36,726,378",
          "imposedOn": "Tai Mo Shan Limited"
        }
      ],
      "requestedRelief": [
        "disgorgement of profits",
        "prejudgment interest",
        "civil penalties",
        "cease and desist from violations"
      ],
      "violatedSections": ["registration and fraud provisions"],
      "investigationConductedBy": [
        "Liz Canizares",
        "Derek Kleinmann",
        "Daniel Sinnreich"
      ],
      "litigationLedBy": [],
      "otherAgenciesInvolved": []
    }
  ]
}