✉️ SEC Comment Letter Monitor — UPLOAD Feed

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A live feed of SEC staff comment letters (form type UPLOAD) from EDGAR — the Division of Corporation Finance's challenges to a company's filings, quarters before they surface in a restatement or an 8-K. Pay-per-record JSON with a direct link to each letter. No specialist subscription.

When the SEC's Division of Corporation Finance challenges a company's filing — revenue recognition, non-GAAP metrics, segment reporting, going-concern, crypto disclosure — it does so in a comment letter (form type UPLOAD) that hits EDGAR's full-text index quarters before the issue surfaces in a restatement or an 8-K. This actor monitors that channel: pass a date window and an optional topic keyword (e.g. "going concern") and get every matching UPLOAD letter as structured JSON — company, ticker, form type, filed date, and a direct document link — ready to route to an analyst queue or an NLP pipeline. Pay-per-record, official EDGAR source.

CORRESP note: This actor reliably retrieves UPLOAD letters (the SEC staff's letters to the registrant). CORRESP filings — the registrant's written responses — are not currently retrievable: they error against SEC full-text search. If and when CORRESP becomes retrievable, it will be added; until then this is an UPLOAD-letter feed.

Why use this

The SEC disclosure-review dialogue is one of the earliest public signals that something in a company's accounting or disclosure is under scrutiny. The letters are public on EDGAR, but they scatter across thousands of filers and there is no clean, queryable, schedulable feed of them keyed to a topic. Specialist databases that surface comment letters charge for access and lock the data behind a login you cannot pipe into your own model.

This actor turns the UPLOAD channel into a feed. It queries EDGAR for UPLOAD letters, lets you AND an optional exact-phrase keyword onto the form filter (target an accounting topic, a sector, or a company), de-duplicates, and returns clean rows with a direct link to each letter document — for cents per record instead of a subscription.

What you get

Every record is structured JSON with the fields below, populated wherever the underlying EDGAR filing provides them:

• companyName — the filer's name as registered with the SEC
• ticker — exchange ticker symbol when EDGAR maps the filer to one (null otherwise)
• cik — the filer's SEC Central Index Key
• formType — the comment-letter form (UPLOAD)
• filedDate — the date the filing was accepted by EDGAR (YYYY-MM-DD)
• accessionNumber — the EDGAR accession number for the filing
• primaryDocument — the filename of the primary document
• documentUrl — direct link to the comment-letter document on sec.gov
• filingIndexUrl — direct link to the EDGAR filing index for the accession

This actor returns filing metadata and a direct link to the letter document — it does not return the parsed letter text. The letter body lives at documentUrl, ready for your own extraction or NLP pipeline.

Use cases

• Forensic-accounting / short-research monitor — Run daily on a topic keyword (e.g. "revenue recognition", "going concern") to catch UPLOAD letters across your coverage universe.
• Audit-committee peer-theme tracking — Track which accounting themes the SEC staff is challenging across a peer group before your own filing.
• Securities-litigation sourcing — Surface comment letters across a coverage universe as candidate-screening input.
• Event-driven / credit signal — Use going-concern or non-GAAP challenges as an early risk indicator.
• Corporate-reporting benchmarking — Review the themes the staff raised with peers before drafting your own disclosure.

Sample input

{
"forms":"UPLOAD",
"query":"revenue recognition",
"daysBack":120,
"maxResults":300
}

Sample output

{
"companyName":"ACME SOFTWARE INC",
"ticker":"ACSW",
"cik":"1456789",
"formType":"UPLOAD",
"filedDate":"2026-05-14",
"accessionNumber":"0000000000-26-001234",
"primaryDocument":"filename1.htm",
"documentUrl":"https://www.sec.gov/Archives/edgar/data/1456789/000000000026001234/filename1.htm",
"filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1456789/000000000026001234/"
}

Input parameters

How to use

Python (apify-client)

from apify_client import ApifyClient
client = ApifyClient("YOUR_TOKEN")
run = client.actor("nexgendata/sec-comment-letter-monitor").call(run_input={
"forms":"UPLOAD",
"query":"revenue recognition",
"daysBack":120,
"maxResults":300,
})
for item in client.dataset(run["defaultDatasetId"]).iterate_items():
print(item["companyName"], item["ticker"], item["filedDate"], item["documentUrl"])

cURL

curl-X POST "https://api.apify.com/v2/acts/nexgendata~sec-comment-letter-monitor/run-sync-get-dataset-items?token=YOUR_TOKEN"\
-H"Content-Type: application/json"\
-d'{
 "forms": "UPLOAD",
 "query": "revenue recognition",
 "daysBack": 120,
 "maxResults": 300
 }'

Schedule it daily via Apify's built-in scheduler and dedupe on accessionNumber into your warehouse. Wire a webhook to fire a Slack or n8n alert whenever a new letter on a watched topic lands.

Pricing

This actor runs on Apify's pay-per-event (PPE) model — you pay only for results, not run-time. Per-record pricing and any per-run charge are shown on the actor's pricing tab. No subscriptions, no seat licences.

Why pay-per-event beats time-based pricing

• Predictable — cost scales with record count.
• Failure-safe — if a run returns 0 rows, you pay for 0 results.
• Easy to attribute — 1 letter = 1 unit of cost.

FAQ

Q: What is the difference between UPLOAD and CORRESP?

A: UPLOAD is the SEC staff's comment letter to the registrant. CORRESP is the registrant's written reply. This actor retrieves UPLOAD letters; CORRESP responses are not currently retrievable (they error against SEC full-text search).

Q: How early is the signal versus a restatement?

A: Comment letters typically appear quarters before an issue surfaces in a restatement or an 8-K, making them a leading indicator.

Q: Can I filter by accounting topic?

A: Yes — pass an exact-phrase keyword (e.g. "going concern", "non-GAAP") to query; it's ANDed onto the form filter.

Q: Does it return the letter text?

A: No — it returns filing metadata and a direct link to the letter document at documentUrl, ready for your own extraction.

Q: How far back can I go?

A: Up to 3,650 days via daysBack, or set explicit startDate/endDate.

Q: What output formats are supported?

A: JSON, JSONL, CSV, and Excel via Apify's dataset export, plus webhook delivery.

Schema stability & versioning

This actor follows NexGenData's additive-only schema contract — new fields may be added, existing fields are never renamed or removed without a major-version bump and advance notice.

Compliance & legal

• The actor reads public, unauthenticated SEC EDGAR pages — the same documents any browser can open, with no login.
• It identifies itself to the SEC with a compliant User-Agent (set yours via userAgentContact) per the SEC fair-access policy.
• NexGenData is not affiliated with, endorsed by, or sponsored by the U.S. Securities and Exchange Commission. "EDGAR" is a service of the SEC.

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• SEC 8-K Event Monitor
• SEC Form NT Late Filing Tracker
• SEC Form 11-K Employee Stock Plan Tracker
• SEC Fails-to-Deliver Tracker
• Stock Buyback Announcement Tracker

Browse the full catalog at https://apify.com/nexgendata?fpr=2ayu9b.