U.S. SEC Sanctions & Enforcement

The U.S. Securities and Exchange Commission (SEC) is the federal regulatory body responsible for protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation.

The SEC enforcement registry tracks civil injunctive actions, administrative proceedings, trading suspensions, and the PAUSE list (Public Alert: Unregistered Soliciting Entities), which identifies entities falsely claiming to be registered or licensed in the U.S.

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API Reference

Endpoint

GET https://api.verifik.co/v2/sec

Alias route: GET https://api.verifik.co/v2/sec-sanctions

Headers

Name	Value	Description
Content-Type	application/json	Request format
Accept	application/json	Response format
Authorization	Bearer <token>	Client JWT authentication token

Parameters

Parameter	Type	Required	Description
fullName	string	Conditional	Individual name (executive, broker, advisor) or registered legal entity name. Required if document parameters are not provided.
documentNumber	string	Conditional	Tax identification number or corporate registration code. Required if fullName is not provided.
documentType	string	No	Document type (e.g., EIN, PAS, CC). Default: CC.

Use Cases

• Capital Markets Due Diligence: Screen broker-dealers, investment advisors, and fund managers prior to institutional onboarding.
• Investor Protection: Identify solicitations originating from unregistered entities on the SEC PAUSE list.
• M&A Executive Screening: Ensure target company officers and directors have no active SEC disqualifications or penny stock bars.

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Request

Node.js / JavaScript

import axios from "axios";

const options = {
  method: "GET",
  url: "https://api.verifik.co/v2/sec",
  params: {
    fullName: "MARIA ELENA LOPEZ GARCIA",
  },
  headers: {
    Accept: "application/json",
    Authorization: "Bearer <your_token>",
  },
};

try {
  const { data } = await axios.request(options);
  console.log(data);
} catch (error) {
  console.error(error.response ? error.response.data : error.message);
}

Python

import requests

url = "https://api.verifik.co/v2/sec"
headers = {
    "Accept": "application/json",
    "Authorization": "Bearer <your_token>"
}
params = {
    "fullName": "MARIA ELENA LOPEZ GARCIA"
}

response = requests.get(url, headers=headers, params=params)
print(response.json())

cURL

curl -X GET "https://api.verifik.co/v2/sec?fullName=MARIA%20ELENA%20LOPEZ%20GARCIA" \
  -H "Accept: application/json" \
  -H "Authorization: Bearer <your_token>"

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Response

200 (Enforcement Record Found)

{
  "data": {
    "fullName": "MARIA ELENA LOPEZ GARCIA",
    "firstName": "MARIA",
    "lastName": "LOPEZ GARCIA",
    "foundInSEC": true,
    "details": {
      "id": "us-sec-10000001",
      "name": "MARIA ELENA LOPEZ GARCIA",
      "schema": "LegalEntity",
      "aliases": "LOPEZ GARCIA CAPITAL CORP",
      "addresses": "100 Wall Street, New York, NY",
      "phones": "+1-800-555-0199",
      "emails": "compliance@sample-sec-entity.com",
      "sanctions": "SEC PAUSE Alert and Enforcement Action",
      "dataset": "us_sec_pause",
      "firstSeen": "2019-02-14",
      "lastSeen": "2024-01-01"
    }
  },
  "signature": {
    "dateTime": "2026-10-30 20:50:00",
    "message": "Certified by Verifik.co"
  }
}

200 (Clean / Not Found)

{
  "data": {
    "fullName": "JOHN DOE",
    "firstName": "JOHN",
    "lastName": "DOE",
    "foundInSEC": false,
    "details": {}
  },
  "signature": {
    "dateTime": "2026-10-30 20:50:00",
    "message": "Certified by Verifik.co"
  }
}

409 (Missing Parameters)

{
  "code": "MissingParameter",
  "message": "Either fullName or documentNumber must be provided"
}

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Sandbox Probes

Subject Query	Endpoint	Expected Result
Odd Document 10000001	/v2/sec	SEC record found (foundInSEC: true).
Even Document 10000002	/v2/sec	Clean record (foundInSEC: false).