fmp-sec-compliance

name	FMP SEC & Compliance
description	[FREEMIUM — free tier with API key] Use the fmp-mcp-server SEC filing, insider trading, and institutional ownership tools for regulatory compliance analysis, insider activity monitoring, and 13F ownership tracking. Invoke when researching SEC filings, monitoring insider buying/selling, tracking institutional positions, or performing compliance due diligence.

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.

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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.

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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.

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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.

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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.

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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.