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get_enforcement_actions

Read-only

Returns SEC + DOJ + CFTC + OCC + FDIC + FTC + Federal Reserve + FinCEN enforcement-related actions. Eight regulators, one tool. Use this when the user asks about: recent SEC charges, DOJ indictments, CFTC derivatives/swaps enforcement, OCC national-bank examination actions, FDIC bank-failure announcements or insured-deposit transfers, FTC antitrust / consumer-protection cases, Federal Reserve actions against banks and individual bankers, FinCEN anti-money-laundering (BSA) penalties, insider trading prosecutions, FCPA actions, fraud cases, or to add a 'negative event' flag to a ticker or person by cross-checking against insider trades, activist filings, or tender offers. Sources: source='sec' — SEC press releases (sec.gov/news/pressreleases.rss). Rolling ~50-item RSS window; refreshes daily. SEC enforcement and policy statements are mixed in the same feed — filter by title substring (e.g., 'charges', 'fraud', 'insider trading') to narrow. source='doj' — DOJ press releases (justice.gov/api/v1/press_releases.json). Latest ~200 records refreshed daily; rich metadata including agency_component (issuing division) and topics[]. Common components: 'Criminal Division', 'Antitrust Division', 'Tax Division', 'Civil Division', 'Office of Public Affairs', 'United States Attorneys'. source='cftc' — CFTC press releases (cftc.gov/PressRoom/PressReleases). HTML index scrape (no RSS). Rolling ~50-item window. Covers derivatives/swaps enforcement, prediction-market jurisdiction, spoofing prosecutions, and policy actions. v1A index-only (no body extracted) — follow url for the substantive announcement. source='occ' — OCC news releases (occ.treas.gov/news-issuances/ news-releases//...). Covers national-bank enforcement, examination findings, capital/leverage rules, interagency announcements. Yearly index. Both OCC-only (nr-occ-...) and interagency (nr-ia-...) releases included; bulletins filtered out. source='fdic' — FDIC press releases (fdic.gov/news/press-releases). Covers bank failures + insured-deposit transfers, exam-result releases, deposit-insurance rule changes, CRA evaluations. Bank-failure announcements are some of the highest-signal FDIC items for agents. source='ftc' — FTC press releases (ftc.gov RSS). Antitrust, merger reviews, deceptive-practices and consumer-protection enforcement. Rolling recent window. source='fed' — Federal Reserve enforcement actions (full history from the Board's enforcement-actions CSV). One record per action per party: cease-and-desist orders, civil money penalties, prohibitions from banking, written agreements — against BOTH banking organizations and individual bankers. topics[] holds the action type(s); agency_component holds the bank (or the individual's affiliated bank); terminated_date is set once the Fed terminates the action (absent = still open). source='fincen'—FinCEN enforcement actions (fincen.gov, complete history). Rare, high-profile anti-money-laundering / Bank Secrecy Act penalties (e.g., TD Bank, Paxful, Brink's). topics[] holds the institution category; release_number holds the matter number; url points at the consent-order PDF. v1A scope: metadata + teaser + description (capped ~3000 chars; empty for CFTC v1A). Full prose lives at url — agents follow for the substantive announcement. Pure-publisher posture: no derived 'severity' or 'outcome prediction' signals. Identifier format: action_id is 'sec-{guid-or-slug}', 'doj-{uuid}', 'cftc-{release-number}', 'occ-{slug}', 'fdic-{slug}', 'ftc-{slug}', 'fed-{date}-{party}-{action}', or 'fincen-{matter-number}'. Stable across re-scrapes. Cross-source tip: pair with get_insider_transactions to detect insider trades by executives at companies later named in enforcement charges, or with get_activist_stakes to spot enforcement-driven exit attempts.

Input Schema

TableJSON Schema
NameRequiredDescriptionDefault
textNoCase-insensitive substring against title + teaser + description combined. Use for company-name / person-name searches.
limitNoMaximum actions to return. Default 50, max 500.
sinceNoPublished date lower bound (YYYY-MM-DD inclusive).
titleNoCase-insensitive substring against the title / headline (e.g., 'insider trading', 'fraud', 'antitrust').
topicNoFilter by DOJ topic tag (array-contains, e.g., 'Financial Fraud', 'Cybercrime', 'Public Corruption').
untilNoPublished date upper bound (YYYY-MM-DD inclusive).
sourceNoFilter to one issuing agency: sec (SEC), doj (DOJ), cftc (CFTC), occ (OCC bank-regulator), fdic (FDIC bank-regulator), ftc (FTC antitrust + consumer protection), fed (Federal Reserve bank + individual-banker actions), fincen (FinCEN anti-money-laundering penalties).
action_idNoDirect lookup ('sec-{guid}', 'doj-{uuid}', or 'cftc-{release-number}'). Fastest path.
sort_orderNoDefault: desc (most recent announcements first).
agency_componentNoSubstring against the issuing DOJ component (e.g., 'criminal division', 'fraud section', 'antitrust'). Empty for most SEC items.

Schema Changelog

Changes observed during successful MCP inspections.

  1. First observed

TDQS

A4.8/5.0
Behavior5/5

Does the description disclose side effects, auth requirements, rate limits, or destructive behavior?

Annotations only declare readOnly/openWorld/destructive=false; the description goes well beyond by disclosing per-source freshness and window behavior (SEC rolling ~50-item RSS, DOJ latest ~200, CFTC HTML scrape with no body extracted), the v1A truncation cap (~3000 chars, empty for CFTC), stable identifier formats per source, and Fed terminated_date semantics. It also states the 'pure-publisher posture: no derived severity or outcome prediction', which prevents an agent from expecting scoring signals.

Agents need to know what a tool does to the world before calling it. Descriptions should go beyond structured annotations to explain consequences.

Conciseness4/5

Is the description appropriately sized, front-loaded, and free of redundancy?

Front-loads purpose, then trigger scenarios, then a scannable per-source block with aligned labels, ending with cross-source tips — a sensible structure for an 8-source aggregator. It is long (~450 words) and the source list is effectively restated three times (trigger list, source definitions, schema enum), which costs it a point, but nearly every sentence carries non-redundant operational detail.

Shorter descriptions cost fewer tokens and are easier for agents to parse. Every sentence should earn its place.

Completeness5/5

Given the tool's complexity, does the description cover enough for an agent to succeed on first attempt?

With no output schema and 10 optional parameters, the description carries the full burden and does: it describes returned field semantics (topics[], agency_component, release_number, terminated_date, url pointing at the consent-order PDF), the v1A teaser-vs-full-prose split, and action_id composition per source. An agent has everything needed to call and interpret results correctly.

Complex tools with many parameters or behaviors need more documentation. Simple tools need less. This dimension scales expectations accordingly.

Parameters4/5

Does the description clarify parameter syntax, constraints, interactions, or defaults beyond what the schema provides?

Schema coverage is 100%, so the baseline is 3, but the description adds real meaning beyond the enum documentation: it explains that OCC bulletins are filtered out while OCC-only and interagency releases are included, that titles are mixed SEC enforcement/policy items requiring substring narrowing, and that agency_component is empty for most SEC items. That is substantive per-parameter context the schema alone does not convey.

Input schemas describe structure but not intent. Descriptions should explain non-obvious parameter relationships and valid value ranges.

Purpose5/5

Does the description clearly state what the tool does and how it differs from similar tools?

Opens with a specific verb and resource — 'Returns SEC + DOJ + CFTC + OCC + FDIC + FTC + Federal Reserve + FinCEN enforcement-related actions' — and the tagline 'Eight regulators, one tool' makes the scope unmistakable against siblings like get_epa_enforcement or get_osha_enforcement. An agent can tell exactly what this tool aggregates without opening the schema.

Agents choose between tools based on descriptions. A clear purpose with a specific verb and resource helps agents select the right tool.

Usage Guidelines5/5

Does the description explain when to use this tool, when not to, or what alternatives exist?

Explicitly enumerates trigger scenarios ('recent SEC charges, DOJ indictments, CFTC derivatives/swaps enforcement, ... insider trading prosecutions, FCPA actions') and names the specific condition for cross-checking ('to add a negative event flag'). It also closes with cross-source guidance naming two sibling tools (get_insider_transactions, get_activist_stakes) and when to pair them.

Agents often have multiple tools that could apply. Explicit usage guidance like "use X instead of Y when Z" prevents misuse.

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