Compliance Signals API: regulatory red flags disclosed in proxies
Regulatory signals from the proxy: filer status, listings, late Section 16 reports, auditor changes, clawback and trading policies, listing deficiencies.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/compliance-signals?ticker=AAPL"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/compliance-signals",
params={'ticker': 'AAPL'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())Overview
Proxies carry small disclosures that matter: delinquent Section 16 reports by insiders, a change of auditor and whether there were disagreements, an exchange notice for a low bid price, a reverse split proposal, whether a clawback recovery was required. They are easy to miss in a 100 page document.
The Compliance Signals API returns them as fields, one record per proxy. Each late filer comes back with name, position and number of late reports. Each listing deficiency comes back with the exchange, rule, notice date, cure deadline and status.
What you get
Built for developers who would rather not parse EDGAR.
Each late filer with position, late reports, late transactions and form types.
Former and new auditor, who initiated it, dates, disagreements and reportable events.
Exchange notices by type, rule, cure deadline and current status.
Clawback recovery analysis, insider trading policy and option grant timing.
Endpoints
Authenticate with Authorization: Bearer YOUR_KEY. Responses are JSON.
Regulatory red flags in a proxy: cover page status, filer status, listings, late Section 16 reports, auditor changes, policy disclosures and listing deficiencies.
Parameters: ticker | cik, accessionNo, startDate, endDate, data.<path>=value, from, size (max 50)
Response fields
The main fields in every result. The raw filing data is always one level down.
| Field | Meaning |
|---|---|
accessionNo, filedAt, entities | The proxy statement and the company. |
coverPage.filingStatus, amendmentNo | Preliminary, definitive or additional materials. |
issuerStatus.smallerReportingCompany, emergingGrowthCompany, controlledCompany | Filer status. |
listings[].ticker, exchange | Where each class trades. |
section16.reportingStatus, lateFilers[].name, lateReports | Late insider reports. |
auditorChange.formerAuditor, newAuditor, disagreements | A change of auditor. |
clawbackPolicy.recoveryAnalysis, erroneouslyAwardedUSD | Whether a clawback recovery was required. |
insiderTradingPolicy.adopted, grantTiming.mnpiConsidered | Trading and grant timing policies. |
reverseSplitProposal, listingDeficiencies[].deficiencyType, status | Listing pressure. |
Use cases
- Screen for exchange deficiency notices and reverse splits
- Track insiders who file Section 16 reports late
- Watch auditor changes and disagreements
- Monitor clawback recoveries after restatements
Datasets behind this API
The SEC forms this API reads, with live filing counts.
FAQ
How far back does it go?
These datasets launched in October 2026 and are being filled newest first, starting with filings from 2020 onward. The live counter on this page shows what is loaded today. Older years are added after that.
How is the data produced?
Each record is extracted from the filing text by an AI model and validated against a fixed schema before it is published; see our AI Disclosure. A value the filing does not state is returned as null, never guessed.
Are 8-K auditor changes included?
This API reads the proxy. Auditor changes reported on 8-K Item 4.01 are in the Auditor Change Feed.
Try the Compliance Signals API free
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