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Form EFFECT Data API

Notice of Effectiveness for Registration Statements

All Form EFFECT filings since 2003 (20 years)
Updated every few seconds
Up to 500 new records per month
Jump to: API Endpoint Request Parameters Response Data Model Response Example References

The Form EFFECT Data API endpoint provides developers with a straightforward way to query and access data from SEC Form EFFECT filings. This endpoint enables you to search for filings using any Form EFFECT data point, such as filing date, file number, or effective date, and returns structured JSON data for seamless integration into your application.

API Endpoint

https://api.fincoded.com/v1/form-effect

Supported HTTP methods: GET
Response content type: JSON

Use the API key on your user dashboard to authenticate your requests, using the key=[YOUR_API_KEY] query parameter:

https://api.fincoded.com/v1/form-effect?key=[YOUR_API_KEY]

Request Parameters

You can query the endpoint by any Form EFFECT property; see the Response Data Model below for a full list of available properties.

Request Parameters
Standard query parameters, all optional. See the API introduction for more details.
  • property[operator]value: Filter the data based on various data model properties, operators (=, <=, >=, !=, <, >) and values.
  • page: The page number for the set of results you want to retrieve.
  • count: The number of results per page.
  • sortBy: The field you want to sort the results by, in full dotted JSON path syntax.
  • sortOrder: The order you want to sort the results, asc for ascending and desc for descending order.
  • subdocuments: When set to true, for endpoints that contain subdocuments for each result (eg informationTable holdings in 13F data), limit these subdocuments to those that match the subdocument filter conditions.
Request Examples

Find effectiveness notices for S-1 and S-3 registration statements. No sort order will be specified, so data will be returned by filing date, most recent first.

https://api.fincoded.com/v1/form-effect?effectiveData.form=S-1,S-3

Find effectiveness notices where the Filer has a CIK of 732712 (Verizon Communications Inc.). Sort the results by the most recent effectiveness date.

https://api.fincoded.com/v1/form-d?effectiveData.filers.cik=732712&sortBy=effectiveData.effectivenessDate&sortOrder=desc

Response Data Model

Response type: JSON

The data model for each returned item closely resembles the XML of the original filing, converted to JSON syntax. Additionally a sourceReference property contains metadata about the original filing, including the date and CIK(s) of the filing company.

Property Type Enum Values Path
sourceReference object sourceReference
source string
filing
 sourceReference.source
filename string sourceReference.filename
url string sourceReference.url
date date sourceReference.date
ciks string[] sourceReference.ciks
schemaVersion string schemaVersion
submissionType string
EFFECT
 submissionType
act string act
effectiveData object effectiveData
effectivenessDate date effectiveData.effectivenessDate
accessionNumber string effectiveData.accessionNumber
form string effectiveData.form
submissionType string effectiveData.submissionType
filers object[] effectiveData.filers
cik string effectiveData.filers.cik
fileNumber string effectiveData.filers.fileNumber
entityName string effectiveData.filers.entityName

Response Example

{
  "data": [
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000010.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1668243/9999999995-20-000010.txt",
        "date": "2020-01-03T05:15:20.000Z",
        "ciks": [
          "1668243"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-02T21:30:00.000Z",
        "form": "S-3",
        "filers": [
          {
            "cik": "1668243",
            "entityName": "UroGen Pharma Ltd.",
            "fileNumber": "333-235642"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000013.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1459839/9999999995-20-000013.txt",
        "date": "2020-01-03T05:15:20.000Z",
        "ciks": [
          "1459839"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-02T21:00:00.000Z",
        "form": "S-3",
        "filers": [
          {
            "cik": "1459839",
            "entityName": "SI-BONE, Inc.",
            "fileNumber": "333-235714"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000012.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1119635/9999999995-20-000012.txt",
        "date": "2020-01-03T05:15:20.000Z",
        "ciks": [
          "1119635"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-02T14:00:00.000Z",
        "form": "F-6",
        "filers": [
          {
            "cik": "1119635",
            "entityName": "BRAZILIAN PETROLEUM CORP/ADR/",
            "fileNumber": "333-235681"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000009.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1616668/9999999995-20-000009.txt",
        "date": "2020-01-03T05:15:20.000Z",
        "ciks": [
          "1616668"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-02T18:30:00.000Z",
        "form": "N-14",
        "filers": [
          {
            "cik": "1616668",
            "entityName": "Pacer Funds Trust",
            "fileNumber": "333-234677"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000011.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1119635/9999999995-20-000011.txt",
        "date": "2020-01-03T05:15:20.000Z",
        "ciks": [
          "1119635"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-02T14:00:00.000Z",
        "form": "F-6",
        "filers": [
          {
            "cik": "1119635",
            "entityName": "BRAZILIAN PETROLEUM CORP/ADR/",
            "fileNumber": "333-235680"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000016.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/811212/9999999995-20-000016.txt",
        "date": "2020-01-06T05:15:20.000Z",
        "ciks": [
          "811212"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-03T21:00:00.000Z",
        "form": "S-3",
        "filers": [
          {
            "cik": "811212",
            "entityName": "ThermoGenesis Holdings, Inc.",
            "fileNumber": "333-235509"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000014.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1631825/9999999995-20-000014.txt",
        "date": "2020-01-06T05:15:20.000Z",
        "ciks": [
          "1631825"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-03T05:00:00.000Z",
        "accessionNumber": "0001193125-19-326020",
        "submissionType": "POS AM",
        "filers": [
          {
            "cik": "1631825",
            "entityName": "Presidio, Inc.",
            "fileNumber": "333-224462"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000017.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1125345/9999999995-20-000017.txt",
        "date": "2020-01-06T05:15:20.000Z",
        "ciks": [
          "1125345"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-03T21:30:00.000Z",
        "form": "S-3",
        "filers": [
          {
            "cik": "1125345",
            "entityName": "MACROGENICS INC",
            "fileNumber": "333-235691"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000015.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1739174/9999999995-20-000015.txt",
        "date": "2020-01-06T05:15:20.000Z",
        "ciks": [
          "1739174"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-03T22:00:00.000Z",
        "form": "S-1",
        "filers": [
          {
            "cik": "1739174",
            "entityName": "BiomX Inc.",
            "fileNumber": "333-235507"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    },
    {
      "sourceReference": {
        "source": "filing",
        "filename": "9999999995-20-000020.txt",
        "url": "https://www.sec.gov/Archives/edgar/data/1638833/9999999995-20-000020.txt",
        "date": "2020-01-07T05:15:19.000Z",
        "ciks": [
          "1638833"
        ]
      },
      "act": "33",
      "effectiveData": {
        "effectivenessDate": "2020-01-06T21:30:00.000Z",
        "form": "S-3",
        "filers": [
          {
            "cik": "1638833",
            "entityName": "Surgery Partners, Inc.",
            "fileNumber": "333-235664"
          }
        ]
      },
      "schemaVersion": "X0101",
      "submissionType": "EFFECT"
    }
  ],
  "metadata": {
    "total": 13049,
    "count": 10,
    "page": 1,
    "pages": 1305
  }
}