fmp-sec-compliance

# FMP SEC & Compliance Skill This skill covers 26 tools from the `fmp-mcp-server` organized into three categories: SEC Filings, Insider Trading, and Institutional Ownership / 13F. Use these tools to perform regulatory compliance analysis, monitor insider activity, track institutional positions, and conduct due diligence on public companies. --- ## SEC Filings (12 tools) These tools query SEC EDGAR data for company filings, registrant lookups, and industry classification codes. | MCP Tool | Purpose | Key Inputs | |----------|---------|------------| | `fmp_sec_filings_8k` | Latest 8-K material event filings | from, to, page, limit | | `fmp_sec_filings_financials` | Latest financial filings (10-K, 10-Q) | from, to, page, limit | | `fmp_sec_filings_by_form` | Search filings by form type | formType, from, to | | `fmp_sec_filings_by_symbol` | SEC filings for a company | symbol, from, to | | `fmp_sec_filings_by_cik` | SEC filings by CIK number | cik, from, to | | `fmp_sec_company_search_name` | Search SEC-registered companies by name | company | | `fmp_sec_company_search_symbol` | SEC company lookup by ticker | symbol | | `fmp_sec_company_search_cik` | SEC company lookup by CIK | cik | | `fmp_sec_profile` | Full SEC company profile | symbol | | `fmp_sic_list` | SIC industry classification codes | (none) | | `fmp_sic_search` | Search SIC classifications | (none) | | `fmp_all_sic` | Complete SIC classification list | (none) | ### SEC Filings — Tool Details #### fmp_sec_filings_8k Retrieves the latest 8-K filings, which disclose material events such as executive changes, M&A activity, earnings pre-releases, and other significant corporate developments. - **Parameters:** `from` (date), `to` (date), `page` (int), `limit` (int) - **Use when:** Scanning for recent material events across the market or within a date window. #### fmp_sec_filings_financials Retrieves the latest financial statement filings including 10-K annual reports and 10-Q quarterly reports. - **Parameters:** `from` (date), `to` (date), `page` (int), `limit` (int) - **Use when:** Monitoring newly filed annual or quarterly financial statements. #### fmp_sec_filings_by_form Searches SEC filings filtered by a specific form type (e.g., 8-K, 10-K, 10-Q, DEF 14A, S-1, 13F-HR). - **Parameters:** `formType` (string), `from` (date), `to` (date) - **Use when:** Looking for a specific type of filing across all registrants within a date range. #### fmp_sec_filings_by_symbol Retrieves all SEC filings for a given company by its ticker symbol. - **Parameters:** `symbol` (string), `from` (date), `to` (date) - **Use when:** Reviewing the full filing history of a specific company. #### fmp_sec_filings_by_cik Retrieves SEC filings using the company's Central Index Key (CIK) number. - **Parameters:** `cik` (string), `from` (date), `to` (date) - **Use when:** Querying filings for entities where the CIK is known but the ticker may be ambiguous or unavailable. #### fmp_sec_company_search_name Searches for SEC-registered companies by name. - **Parameters:** `company` (string) - **Use when:** Finding the CIK or ticker for a company when only the corporate name is known. #### fmp_sec_company_search_symbol Looks up an SEC-registered company by its ticker symbol. - **Parameters:** `symbol` (string) - **Use when:** Confirming SEC registration details and CIK for a known ticker. #### fmp_sec_company_search_cik Looks up an SEC-registered company by its CIK number. - **Parameters:** `cik` (string) - **Use when:** Resolving a CIK to a company name and ticker. #### fmp_sec_profile Returns the full SEC company profile including SIC code, state of incorporation, fiscal year end, business address, and filing metadata. - **Parameters:** `symbol` (string) - **Use when:** Performing due diligence on a company's SEC registration and corporate details. #### fmp_sic_list Returns available SIC (Standard Industrial Classification) industry codes. - **Parameters:** (none) - **Use when:** Referencing industry classification codes for sector-based analysis. #### fmp_sic_search Searches SIC classifications by keyword or code. - **Parameters:** (none) - **Use when:** Looking up the SIC code for a specific industry or business type. #### fmp_all_sic Returns the complete list of all SIC classification codes and their descriptions. - **Parameters:** (none) - **Use when:** Needing a comprehensive reference of all industry classification codes. --- ## Insider Trading (6 tools) These tools track Form 4 insider transactions, beneficial ownership filings, and aggregate insider trading statistics. | MCP Tool | Purpose | Key Inputs | |----------|---------|------------| | `fmp_insider_latest` | Latest insider trades across all companies | page, limit | | `fmp_insider_search` | Search insider trades by symbol | symbol, page, limit | | `fmp_insider_by_name` | Insider trades by person name | name | | `fmp_insider_transaction_types` | All insider transaction type codes | (none) | | `fmp_insider_stats` | Insider trading statistics for a stock | symbol | | `fmp_beneficial_ownership` | Beneficial ownership filings | symbol | ### Insider Trading — Tool Details #### fmp_insider_latest Returns the most recent insider trades filed across all public companies. - **Parameters:** `page` (int), `limit` (int) - **Use when:** Screening for the latest insider buying and selling activity market-wide. #### fmp_insider_search Searches insider trades for a specific company by ticker symbol. - **Parameters:** `symbol` (string), `page` (int), `limit` (int) - **Use when:** Investigating insider activity within a specific company (e.g., cluster buys before earnings). #### fmp_insider_by_name Looks up insider trades filed by a specific person's name. - **Parameters:** `name` (string) - **Use when:** Tracking a specific executive's or director's trading history across companies. #### fmp_insider_transaction_types Returns all insider transaction type codes (e.g., P-Purchase, S-Sale, A-Award) and their definitions. - **Parameters:** (none) - **Use when:** Decoding transaction type codes returned by other insider trading tools. #### fmp_insider_stats Returns aggregate insider trading statistics for a given stock, including net buy/sell ratios and total transaction volumes. - **Parameters:** `symbol` (string) - **Use when:** Gauging overall insider sentiment for a stock — net buying suggests confidence, net selling may warrant caution. #### fmp_beneficial_ownership Retrieves beneficial ownership filings (Schedule 13D/13G) for a given stock, showing entities with 5%+ ownership stakes. - **Parameters:** `symbol` (string) - **Use when:** Identifying major shareholders and activist positions that may influence corporate governance. --- ## Institutional Ownership / 13F (8 tools) These tools analyze 13F institutional holdings filings, providing insight into how large asset managers allocate capital. | MCP Tool | Purpose | Key Inputs | |----------|---------|------------| | `fmp_institutional_latest` | Latest 13F filings | page, limit | | `fmp_institutional_extract` | Extract holdings from a 13F filing | cik, year, quarter | | `fmp_institutional_dates` | Available 13F filing dates for a holder | cik | | `fmp_institutional_analytics_holder` | Holder analytics for a stock | symbol, year, quarter | | `fmp_holder_performance` | Institutional holder performance summary | cik | | `fmp_holder_industry_breakdown` | Holder's industry allocation | cik, year, quarter | | `fmp_positions_summary` | All institutional positions in a stock | symbol, year, quarter | | `fmp_industry_ownership_summary` | Industry-level institutional ownership | year, quarter | ### Institutional Ownership — Tool Details #### fmp_institutional_latest Returns the most recently filed 13F reports across all institutional investment managers. - **Parameters:** `page` (int), `limit` (int) - **Use when:** Discovering which institutions have recently filed updated holdings disclosures. #### fmp_institutional_extract Extracts the full list of holdings from a specific 13F filing, identified by the filer's CIK, year, and quarter. - **Parameters:** `cik` (string), `year` (int), `quarter` (int) - **Use when:** Analyzing the complete portfolio of a specific institutional holder for a given quarter. #### fmp_institutional_dates Returns all available 13F filing dates for a given institutional holder by CIK. - **Parameters:** `cik` (string) - **Use when:** Determining which quarters are available before extracting holdings data. #### fmp_institutional_analytics_holder Provides analytics on institutional holders of a specific stock, including position sizes and changes. - **Parameters:** `symbol` (string), `year` (int), `quarter` (int) - **Use when:** Understanding which institutions own a stock and how their positions have changed. #### fmp_holder_performance Returns a performance summary for an institutional holder's portfolio. - **Parameters:** `cik` (string) - **Use when:** Evaluating an institution's track record before following their trades. #### fmp_holder_industry_breakdown Shows the industry allocation breakdown for an institutional holder's portfolio. - **Parameters:** `cik` (string), `year` (int), `quarter` (int) - **Use when:** Understanding a holder's sector concentration and diversification. #### fmp_positions_summary Returns a summary of all institutional positions in a specific stock for a given quarter. - **Parameters:** `symbol` (string), `year` (int), `quarter` (int) - **Use when:** Gauging total institutional interest in a stock and identifying top holders. #### fmp_industry_ownership_summary Provides industry-level aggregation of institutional ownership data. - **Parameters:** `year` (int), `quarter` (int) - **Use when:** Analyzing macro-level institutional capital flows across sectors. --- ## Usage Patterns ### 1. Insider Activity Monitor Detect and interpret insider trading patterns for a specific stock. ``` Step 1: fmp_insider_search(symbol="AAPL") Retrieve recent insider transactions for the target company. Step 2: fmp_insider_stats(symbol="AAPL") Pull aggregate insider trading statistics to see net buy/sell ratios. Step 3: Analyze the results. - Cluster buys (multiple insiders buying within a short window) signal collective confidence and are often a stronger indicator than isolated transactions. - Compare insider purchase sizes relative to their total holdings. - Cross-reference transaction dates with 8-K filings or earnings dates for context. ``` ### 2. 13F Deep Dive Analyze a major institutional holder's full portfolio, performance, and sector allocation. ``` Step 1: fmp_institutional_extract(cik="0001067983", year=2025, quarter=4) Extract Berkshire Hathaway's full 13F holdings for the target quarter. Step 2: fmp_holder_performance(cik="0001067983") Review the holder's portfolio performance summary to assess track record. Step 3: fmp_holder_industry_breakdown(cik="0001067983", year=2025, quarter=4) Examine sector allocation to understand concentration risk and investment themes (e.g., heavy financials or energy tilt). ``` ### 3. Regulatory Due Diligence Conduct a comprehensive regulatory review of a company's SEC filing history and profile. ``` Step 1: fmp_sec_filings_by_symbol(symbol="TSLA") Pull the company's complete SEC filing history to identify all disclosure types and filing frequency. Step 2: fmp_sec_profile(symbol="TSLA") Retrieve the full SEC profile including SIC code, state of incorporation, fiscal year end, and business address. Step 3: fmp_sec_filings_by_form(formType="DEF 14A") Search for proxy statement filings to review executive compensation, board composition, and shareholder proposals. ``` ### 4. Smart Money Tracking Monitor quarter-over-quarter changes in institutional positions to detect accumulation or distribution. ``` Step 1: fmp_positions_summary(symbol="NVDA", year=2025, quarter=3) Retrieve all institutional positions for the stock in Q3. Step 2: fmp_positions_summary(symbol="NVDA", year=2025, quarter=4) Retrieve the same data for Q4. Step 3: Compare Q-over-Q changes. - Identify institutions that initiated new positions (accumulation). - Flag institutions that exited entirely (distribution). - Calculate the net change in total institutional shares held. - Large coordinated increases across multiple holders can confirm a bullish institutional consensus. ``` --- ## Tips and Best Practices - **CIK lookup first:** When working with 13F or CIK-based tools, use `fmp_sec_company_search_name` or `fmp_sec_company_search_symbol` to resolve the CIK before calling filing-specific endpoints. - **Date ranges matter:** Always specify `from` and `to` dates when available to narrow results and avoid hitting rate limits or returning excessive data. - **Decode transaction types:** Use `fmp_insider_transaction_types` to interpret transaction codes before drawing conclusions from insider trading data. - **Quarter lag awareness:** 13F filings are due 45 days after quarter-end, so data reflects positions as of the end of the prior quarter, not current holdings. - **Combine across categories:** The most powerful analyses combine tools from multiple categories — e.g., pairing insider buying signals with increasing institutional ownership and recent 8-K filings for a holistic view.