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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. CATEGORY: every row is labelled category: "enforcement" (charges, suits, settlements, penalties, consent and court orders, monthly enforcement-action lists; every DOJ, Federal Reserve and FinCEN row) or "agency_news" (rule proposals, no-action letters, appointments, roundtables, bank-failure notices, speeches from the SEC, CFTC, OCC, FDIC and FTC press feeds). By DEFAULT only enforcement is returned; pass category="all" for everything, or category="agency_news" for the news alone. A direct action_id lookup returns the row whatever its category. 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

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).
categoryNoDefault "enforcement": enforcement actions only. "all" adds the agencies' general press releases; "agency_news" returns only those.
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. Changed1 schema field changed
    • addedInput schema / properties / category
      Added value: +{
+  "description": "Default \"enforcement\": enforcement actions only. \"all\" adds the agencies' general press releases; \"agency_news\" returns only those.",
+  "enum": [
+    "enforcement",
+    "agency_news",
+    "all"
+  ],
+  "type": "string"
+}
  2. First observed

TDQS

A4.7/5.0
Behavior5/5

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

Annotations cover readOnly/openWorld/non-destructive, but the description adds substantial behavior beyond them: rolling ~50-item RSS windows, DOJ's ~200-record cap, CFTC being index-only with no body, Fed's terminated_date semantics and one-record-per-party model, and the v1A scope limit (metadata + teaser capped ~3000 chars). It even disclaims derived signals ('Pure-publisher posture: no derived severity').

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

Conciseness3/5

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

Front-loaded correctly (purpose first, then trigger list, then category rules), but the per-source block is very long and partially restates the schema's own source enum descriptions (SEC/DOJ/CFTC/OCC/FDIC/FTC/Fed/FinCEN glosses). The crawl-endpoint and window-size detail is useful, but the overall length is heavier than an agent needs at selection time.

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?

No output schema exists, yet the description adequately substitutes by specifying what a row contains (category label, topics[], agency_component, terminated_date, release_number, url) and how source coverage varies. For an 11-param, eight-source aggregation tool, nothing material to correct invocation is missing.

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 description coverage is 100% and already documents all 11 params, so the baseline is 3. The description earns an extra point by extending the schema's partial action_id examples to all eight ID formats and explaining that a direct action_id lookup returns the row regardless of category, which is behavior the schema does not state.

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+resource and scope: 'Returns SEC + DOJ + CFTC + OCC + FDIC + FTC + Federal Reserve + FinCEN enforcement-related actions. Eight regulators, one tool.' It immediately distinguishes itself from siblings by naming the exact eight sources it aggregates, which no other sibling tool does.

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?

Gives an explicit when-to-use trigger list ('recent SEC charges, DOJ indictments, CFTC derivatives/swaps enforcement...') plus the negative-event cross-check use case, and names concrete alternatives: 'pair with get_insider_transactions... or with get_activist_stakes.' It also resolves the internal category decision (default enforcement vs category="all" vs "agency_news").

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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