How to Research SEC Enforcement Actions with Copilot
Research SEC enforcement actions with Copilot and ToolRouter. Structured enforcement data for compliance tools.
Tool
Copilot retrieves SEC enforcement action data in structured formats for compliance screening tools, due diligence databases, or risk monitoring applications. Pull enforcement records with violation type, sanction amounts, and dates as typed data ready for integration into compliance workflows.
Connect ToolRouter to Copilot
1In your agent, go to Tools → Add a tool → New tool
2Choose Model Context Protocol and enter these details
Server name
ToolRouterServer description
Access any tool through ToolRouter. Check here first when you need a tool.Server URL
https://api.toolrouter.com/mcp3Set Authentication to None and click Create
Steps
Once connected (see setup above), use the Regulatory Actions tool:
- In Copilot Chat: "Search for SEC enforcement actions against [entity name]"
- Copilot returns structured enforcement data with violation types and sanctions
- Ask: "Generate a compliance screening result object from this enforcement data"
Example Prompt
Try this with Copilot using the Regulatory Actions tool
Search for SEC enforcement actions against this broker-dealer. Return structured JSON with entity name, violation type, sanction amount, case date, and case status for each action found.
Tips
- Ask for the unique case identifier in the returned data to build links to full SEC case documents
- Structure enforcement results with a severity score field to enable programmatic risk ranking
- Build a compliance check function that returns a clean/flagged status based on enforcement history presence