SEC API Use case: Compliance & regulatory monitoring - Use Case - Use case: Compliance & regulatory monitoring

Compliance & Regulatory Monitoring

Compliance and regulatory monitoring depend on knowing when companies disclose something new and what exactly was disclosed. Timely access to official SEC filings, combined with the ability to search, filter, and extract specific sections, helps compliance teams track regulatory obligations, monitor disclosures, and respond quickly to new filing activity.

Your challenge

Compliance teams need to stay on top of new SEC filings while dealing with a high volume of documents every day.

Filings come in different formats, vary in length, and often include important disclosures buried inside long sections of text. Without timely access, clear filtering, and the ability to focus on specific parts of a filing, teams can spend too much time searching for relevant information or risk missing something that requires action.

Too many filings to track manually

Important details are easy to miss

Hard to focus on what matters

Slow reaction to new disclosures

Limited search across filings

How Does FinFeedAPI Solve It?

See new filings as soon as they appear

FinFeedAPI’s SEC WebSocket streams newly discovered SEC filings in near real time. Compliance teams don’t have to wait or refresh pages to know when something new is filed.

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Before vs After FinFeedAPI

Compliance workflow	Before	After (with SEC API)
Monitoring new filings	Manual checks of EDGAR or delayed alerts.	Real-time WebSocket stream delivers new filings as they appear.
Finding relevant filings	Broad searches with lots of noise.	Targeted filtering by company, form type, dates, and keywords.
Reviewing filings	Reading entire documents to find key details.	Item-level extraction pulls only the sections that matter.
Speed of response	Delays between filing and compliance review.	Faster reaction using near real-time filing discovery.
Tracking specific topics	Hard to search across many filings.	Full-text search across SEC documents saves time.
Data format	Unstructured HTML or PDF documents.	documents. Structured content and JSON output for easier review.
Audit preparation	Manual gathering of past filings.	Historical access makes audits and reviews simpler.
Operational effort	High manual workload for compliance teams.	Automated workflows using one unified SEC API.

FAQ: Compliance and Regulatory Monitoring & SEC API

How can teams monitor new SEC filings without checking EDGAR all day?

Monitoring EDGAR manually doesn’t scale when filings are published continuously. FinFeedAPI provides a real-time WebSocket stream that delivers new SEC filings as soon as they are discovered. This allows compliance teams to set up automated alerts and workflows that react to filings immediately, instead of relying on periodic checks.

What types of SEC filings are most relevant for compliance monitoring?

Compliance teams often focus on filings like 8-K, 10-K, and 10-Q because they contain material disclosures, financial updates, and regulatory information. With FinFeedAPI, teams can filter filings by form type, company, and date, making it easier to monitor only the documents that carry compliance risk.

How do teams quickly find important disclosures inside long SEC filings?

SEC filings can span hundreds of pages, and key disclosures are often buried inside specific sections. FinFeedAPI supports item-level extraction, which lets teams pull only the exact items they care about. This reduces reading time and helps reviewers focus on the content that actually requires action.

Can compliance teams search across historical SEC filings for specific topics?

Yes. FinFeedAPI offers full-text search across SEC filings, allowing teams to look for keywords, phrases, or themes across many companies and time periods. This is useful for tracking how certain risks, disclosures, or regulatory topics have evolved over time.

Why does real-time access to SEC filings matter for compliance teams?

Timing matters in compliance. The sooner a filing is identified, the sooner it can be reviewed and escalated if needed. FinFeedAPI’s real-time filing stream reduces the gap between publication and review, helping teams respond more quickly to new disclosures.

What risks come with manual SEC filing monitoring?

Manual monitoring is slow, error-prone, and hard to scale. Important filings can be missed during busy periods, leading to delayed responses. FinFeedAPI helps automate discovery and reduce the chance that a critical filing goes unnoticed.

How can teams track recurring regulatory issues across multiple filings?

Tracking trends manually is difficult when filings are spread across time and companies. With FinFeedAPI’s search and filtering tools, teams can monitor recurring keywords or item types and build a clearer picture of ongoing regulatory themes.

Why is item-level extraction better than reviewing full documents?

Most compliance checks only require specific sections of a filing. Item-level extraction allows teams to focus directly on those sections, saving time and reducing review fatigue while still ensuring nothing important is overlooked.

How can SEC filing data be integrated into compliance workflows?

FinFeedAPI delivers data via REST, WebSocket, and JSON-RPC, making it flexible for different systems. Teams can connect filing data to internal dashboards, alerting tools, or document review workflows without building custom scrapers.

How does structured SEC data help during audits and internal reviews?

Structured access to filings makes it easier to show what was disclosed, when it was disclosed, and how it was reviewed. FinFeedAPI’s historical access and structured outputs help teams support audits, investigations, and internal reviews with clear evidence.