SEC regulatory monitoring

The 'who just filed / who just bought / what just IPO'd / what does the full-text search say' monitoring loop. Five EDGAR tools composed: full-text search for a keyword, surface recent filings on the matched companies, pull insider Form 4 transactions, pull 13F institutional holdings changes, and check the IPO calendar. Different from sec-filings-deep-dive (which goes deep on one company's earnings) - this is the wide-and-recent radar.

When to use this pack

Most EDGAR workflows fall into two modes: 'tell me everything about company X' (covered by sec-filings-deep-dive) or 'what just happened across the universe that I care about?' (this pack). The monitoring mode powers competitor watch, M&A signal scanning, insider-buying screens, and 'is the IPO window open' market-timing checks. The full-text search seeds the watch list; insider trades + 13F changes are the canonical informed-money signals; the IPO calendar is the supply-side gauge. All five tools are egress to SEC EDGAR (free upstream, but counted as paid for the deterministic-tool wrapper).

Tools in this pack

All 5 run inside the single $0.70 call above. Each is also callable on its own if you only need one part.

• EDGAR full-text search GET /api/edgar-search General-purpose full-text search across every SEC filing since 2001. Find any phrase in any filing - material-weakness language in 10-Ks, going-concern in 10-Qs, "Russia" exposure across all forms. Supports form-type, CIK, US-state, and date-window filters. Source: EDGAR full-text search (efts.sec.gov). ?q=going+concern&forms=10-Q&days=30
• EDGAR recent filings GET /api/edgar-filings Recent SEC filings for a company by ticker or CIK, newest first. Optionally filter by form type (10-K, 10-Q, 8-K, 4, S-1, etc.). Each row links to the primary document on SEC.gov. Source: data.sec.gov/submissions (public domain). ?ticker=AAPL&form=10-K&limit=10
• EDGAR insider trades (Form 4) GET /api/edgar-insider-trades Recent Form 4 insider transactions filed against a company (officer, director, or 10% holder trades). Backed by EDGAR's full-text search (efts.sec.gov) filtered by subject-company CIK - Form 4 is owned by each insider's CIK, not the company's, so this is the only single-call path. ?ticker=AAPL&days=30
• EDGAR 13F-HR holdings (institutional positions) GET /api/edgar-13f-holdings Top holdings from an institutional investment manager's most recent 13F-HR filing (managers >$100M AUM file quarterly). Parses the standard SEC informationtable.xml attached to the filing - returns issuer, CUSIP, shares, USD value, and voting authority for each position. Sorted by USD value, descending. Source: data.sec.gov + filing archive. ?cik=1067983 (Berkshire) or ?ticker=BRK-B
• EDGAR recent IPO filings (S-1 / 424B4) GET /api/edgar-recent-ipos Recently-filed S-1 (initial registration) or 424B4 (final prospectus - actual priced IPO) filings across all US issuers. Default returns S-1 filings (companies preparing to IPO) in the last 30 days; pass form=424B4 for actual IPOs that priced. Source: EDGAR full-text search. ?days=30&form=S-1

Workflow

1. Seed the watch list with edgar-search. Full-text search across the EDGAR filing corpus for the keyword/theme - e.g. 'AI infrastructure', 'GLP-1', 'small modular reactor'. Returns matched filings with company CIK, ticker, filing type, and date. The query language is EDGAR's own (supports exact phrases, AND/OR, and date filters). This is the 'who is talking about this' step - the resulting CIK list seeds every downstream step. Cap the result set at 25 to keep the pack budget bounded.
2. Pull recent filings on each matched company with edgar-filings. One call per CIK from step 1. Returns the company's last N filings (10-K, 10-Q, 8-K, S-1, etc.) with dates and accession numbers. The 8-K filings are the disclosure firehose - material events (acquisitions, exec departures, going-concern doubt). Surface any 8-K filed in the last 7 days as 'fresh material event' - those are typically the actionable signal in a monitoring loop, not the 10-K/10-Q (which are scheduled and pre-baked into the price).
3. Pull insider Form 4 transactions with edgar-insider-trades. One call per CIK. Returns recent buys and sells by officers and directors with transaction value. The classical signal: clusters of *open-market buys* by multiple insiders within a short window are the highest-conviction informed-money signal in equity markets (sells are noisy - insiders sell for diversification, taxes, divorce; they only buy for one reason). Surface buy clusters (≥ 2 insiders, ≥ $100k each, within 30 days) prominently. Sales without context are deprioritized.
4. Pull 13F institutional holdings changes with edgar-13f-holdings. One call per CIK. Returns the latest quarterly snapshot of which 13F-filing institutions hold the stock and how their position changed (new, increased, decreased, sold-out). New positions by concentrated managers (Berkshire, Pershing Square, Baupost, etc.) are the canonical 'smart money rotated in' signal. Caveat: 13F is delayed 45 days from quarter-end, so this is a confirmation signal, not a leading one - useful for narrative, not for timing.
5. Check the IPO calendar with edgar-recent-ipos. Returns S-1 / S-1/A filings in the recent window - both freshly filed (signals coming-soon) and recently effective (signals just-launched). This is the supply-side gauge: open IPO window = capital markets are absorbing risk; closed = risk-off regime. If the search theme from step 1 has IPO-stage entrants showing up here, that's the 'thematic capital is being raised' confirmation. Final radar synthesizes all five signals into a one-screen actionable summary.

Call it directly

Any x402 client pays the 402 and gets the whole workflow back in one response:

npx agent402-client call regulatory-watch {"theme":"AI infrastructure datacenter","lookbackDays":"30"}

Run it in Claude

claude mcp add agent402 -s user -- npx -y agent402-mcp@latest

Then paste this prompt into Claude:

Run a regulatory monitoring sweep using Agent402.

Theme: 'AI infrastructure datacenter'.
Lookback: last 30 days.
As-of: 2026-06-22.

(1) edgar-search with q='AI infrastructure datacenter', dateRange=last-30-days, limit=25. Return {matches: [{cik, ticker, companyName, filingType, filingDate, snippet}, ...]}. Dedupe to unique CIKs - call that list `watchlist`. (2) edgar-filings for each CIK in watchlist (cap watchlist to 10 to bound budget). For each: return the last 6 filings with type + date + accession. Flag any 8-K filed in the last 7 days as 'fresh_8k=true'. (3) edgar-insider-trades for each CIK. Return {buys: [], sells: []} with {insiderName, role, date, value, sharesAfter}. Compute `buyCluster: true` if ≥ 2 insiders, each ≥ $100k, all within a 30-day window. Surface buy clusters prominently in the writeup; deprioritize standalone sells. (4) edgar-13f-holdings for each CIK. Return {newPositions: [{filerName, value}, ...], increases: [], decreases: [], soldOut: []} for the latest quarter (caveat: 45-day delayed). Flag any newPosition from a 'name-brand' concentrated holder (Berkshire, Pershing Square, Baupost, Greenlight, etc.). (5) edgar-recent-ipos with theme='AI infrastructure datacenter' if supported, else unfiltered, lookback=30d. Return {filed: [{cik, companyName, filingType, date}, ...], effective: [...]}. Cross-reference: any IPO entrant whose company description matches the theme is a 'theme-stage entrant'. Final return: {asOf: '2026-06-22', theme, watchlist: [...], fresh_8ks: [...], buyClusters: [...], smartMoneyNewPositions: [...], themeIpos: [...], synthesis: '<one-paragraph radar summary: which CIKs got buy clusters, which got smart-money entries, which had fresh material 8-Ks, whether the IPO window for the theme is open or closed>', oneLineSummary: '5 CIKs on AI-infrastructure watch; 1 fresh insider buy cluster (NVDA), 2 smart-money new positions (CRWV, NBIS), 1 theme IPO effective (Astera Labs add-on) - capital is rotating in, no fresh 8-K surprises this week.'}. All five tools are egress to SEC EDGAR. Budget ~$0.30 paid. Cache per session.

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