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I am trying to develop a routine that monitors the SEC database (EDGAR) for new mutual fund filings resulting in a "Prospectus". The SEC filing type 485BPOS is supposed to represent a new prospectus filing, or an amendment to a prospectus. I am only interested in those that result in a prospectus, as I would like to retrieve the Prospectus document from EDGAR at that time.

Can anyone tell me how I can determine if an Edgar filing actually results in a prospectus that I can then retrieve? I know some software companies out there are able to do this, and I'm just trying to determine how it is they know? It is my understanding that they use the same public EDGAR feeds I am trying to use.

mmohab
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Todd Peterson
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2 Answers2

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You can use the library sec-api (https://www.npmjs.com/package/sec-api).

It establishes a real-time communication channel via websocket, and allows you to filter newly published filings for 485BPOS type.

Live Demo (React): https://codesandbox.io/s/01xqz2ml9l

Node.js Example

const api = require('sec-api')();

api.on('filing', filing => {
  if (filing.type === '485BPOS') {
    // do something with filing
  }
});

React Example

import api from 'sec-api';

class Filings extends React.Component {
  componentDidMount() {
    const socket = api();
    socket.on('filing', filing => {
      if (filing.type === '485BPOS') {
        // do something with filing
      }
    });
  }

  // ...
}

Filing JSON

filing is a JSON object, for example:

{
  companyName: 'WALT DISNEY CO/ (0001001039) (Issuer)',
  type: '4',
  description: 'FORM 4',
  linkToFilingDetails: 'https://www.sec.gov/Archives/edgar/data/1001039/000100103918000235/0001001039-18-000235-index.htm',
  linkToHtmlAnnouncement: 'https://www.sec.gov/Archives/edgar/data/1001039/000100103918000235/xslF345X03/wf-form4_154544051056009.xml',
  linkToXbrl: 'https://www.sec.gov/Archives/edgar/data/1001039/000100103918000235/wf-form4_154544051056009.xml',
  announcedAt: '2018-12-21T20:02:07-05:00'
}
Jay
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0

You can use SEC Edgar API to access filings https://rapidapi.com/FinanceAPIs/api/edgar-sec

Alexandr Borovkov
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