Regulatory State Transition Monitor (EDGAR)

This sample Evidence Pack demonstrates how CMD+RVL documents and delivers defensible outcomes with full chain-of-custody and reproducibility.

Pack Version

Outcome

Run ID

run_2024_10_14_181522Z_04

As-of

2024-10-14T18:15:22Z

Status

Healthy

Download

JSON

Outcome

Regulatory State Transition Monitor (EDGAR)

Run ID

run_2024_10_14_181522Z_04

As-of

2024-10-14T18:15:22Z

Status

Healthy

Jump to section

How to Use This Pack
Artifact Identity
Trigger Summary
Sources
Canonical Entities
State Before → State After
Evidence
Methodology & Rules Applied
Known Limitations
Delivery Ledger
Reproduce
Lineage
Policy
Entity Resolution
Timing Semantics
Model Disclosure

How to use this Evidence Pack

▼

Open the Evidence Pack. Each outcome links to a pack containing source filing links, accession numbers, timestamps and the prior state pointer.
Verify source documents. Review the 10-K, 10-Q and 8-K filings in the pack and confirm that the accession numbers match the expected documents.
Check transformation steps. Examine the methodology section and version hash to understand how raw data was processed.
Inspect timestamps and health flags. Confirm that publish/ingest timestamps and health flags meet your SLA requirements.
Reconstruct the state (optional). Use the prior state pointer and delivery logs to reconstruct the issuer's regulatory state over time.

Artifact Identity

Outcome ID

edgar-reg-state-v1

Outcome Name

Regulatory State Transition Monitor (EDGAR)

Run ID

run_2024_10_14_181522Z_04

Org

Public Example

As-of Timestamp

2024-10-14T18:15:22Z

SLA Context

On-timeHealthy

← Back to outcome page

Trigger Summary

Trigger Type

New EDGAR filing / Amendment

Issuer

Example Issuer Corp · 0000123456

Filing

10-K/A · 0000123456-24-000789

Detected / Delivered

2024-10-14T18:10:04Z→2024-10-14T18:15:22Z

Transition

AMENDED_AFTER_PUBLICATION

Confidence

HIGH

Sources

EDGAR URLs

Published Timestamp

2024-10-14T17:58:11Z

Ingest Timestamp

2024-10-14T18:09:42Z

Checksums

Primary SHA-256

b3b5c91d1d8f1c4c9bdc5f820b7f96a7c9f3c2de1f4b3f9a0a7c9d3c4f1a2b3c

Predecessor SHA-256

d9f1a3c4b5e6f70918273645a1b2c3d4e5f60718293a4b5c6d7e8f9012345678

Primary source links are authoritative.

Canonical Entities

Issuer (CIK)

0000123456

Filing accession (current)

0000123456-24-000789

Filing accession (prior)

0000123456-23-000456

issuer_internal_id

issuer_91bf2a

filing_internal_id

filing_a3f10c

obligation_id

obligation_48c201

State Before → State After

Changed rows highlighted.

Key	Before	After
LATEST_10K_ACCESSION	0000123456-23-000321	0000123456-24-000789
AMENDMENT_FLAG	FALSE	TRUE
FRESHNESS_STATUS	CURRENT	STALE

Evidence

Prior Pointer

https://www.sec.gov/Archives/edgar/data/0000123456/000012345623000456/primary-doc.html

Section-level Diff Summary

Sections 2 and 9 updated; new exhibit added.

What changed

Issuer amended previously filed 10-K to add updated risk language and revised financial tables. Amendment introduces a new Exhibit 99.3 and corrects the MD&A section.

View raw diff

@@ MD&A @@
- Revenue increased 12%
+ Revenue increased 10% due to FX headwinds

@@ Exhibit 99.3 @@
+ Added updated covenant summary

Methodology & Rules Applied

Method Version Hash

method_7b9c2f19c4

Detection Logic

Monitor EDGAR index feeds every 5 minutes.
Normalize filings to canonical accession numbers.
Compare latest accession to stored state for issuer.
Flag amendments when form type ends with /A.
Validate timestamps against publication window.

Thresholds Used

Freshness window: 72 hours
Amendment lookback: 180 days
Confidence minimum: MED

Known Exclusions

Inline XBRL exhibits
Redacted exhibits requiring confidential treatment requests

Known Limitations

Formatting noise can obscure section-level diffs.
Late amendments may arrive outside the freshness window.
Missing tables in HTML can reduce confidence scores.

Delivery Ledger

Channel	Destination	Delivered at	Status	Retries
webhook	https://hooks.example.com/cmdrvl/edgar	2024-10-14T18:15:22Z	DELIVERED	0
email	alerts+example@cmdrvl.com	2024-10-14T18:15:28Z	DELIVERED	1
slack	#sec-alerts (redacted)	2024-10-14T18:15:35Z	DELIVERED	0

This proves chain-of-custody for the evidence pack.

Reproduce

Re-run Instructions

Fetch EDGAR filings for issuer CIK 0000123456.
Normalize accession numbers and compare against stored latest state.
Run amendment detection rules with the configured lookback.
Generate evidence pack JSON and verify checksums.

Inputs Required

EDGAR index feed snapshot (CIK 0000123456)
Prior state snapshot (latest accessions)
Method hash method_7b9c2f19c4

Expected Output

run_id: run_2024_10_14_181522Z_04

hashes:

b3b5c91d1d8f1c4c9bdc5f820b7f96a7c9f3c2de1f4b3f9a0a7c9d3c4f1a2b3c

d9f1a3c4b5e6f70918273645a1b2c3d4e5f60718293a4b5c6d7e8f9012345678

Command

cmdrvl evidence generate --outcome edgar-reg-state-v1 --run run_2024_10_14_181522Z_04

Lineage

Pipeline Run ID

pipe_2024_10_14_180900Z_01

Ordered transformation steps used to produce this pack. Each step references inputs/outputs and code provenance for reconstruction.

Transformation Steps

Step 1Poll EDGAR index feed

SUCCESS

Duration

2024-10-14T18:05:00Z → 2024-10-14T18:05:02Z

Inputs

None

Outputs

edgar_index_snapshot:idx_2024_10_14_1805Z

Code Reference

cmdrvl-context @ commit_placeholder_001 / poller/edgar_index.py

Step 2Fetch current and predecessor filings

SUCCESS

Duration

2024-10-14T18:06:10Z → 2024-10-14T18:08:55Z

Inputs

edgar_index_snapshot:idx_2024_10_14_1805Z

Outputs

raw_filing:0000123456-24-000789

raw_filing:0000123456-23-000456

Code Reference

cmdrvl-context @ commit_placeholder_002 / ingest/edgar_fetcher.py

Step 3Normalize filing content and compute checksums

SUCCESS

Duration

2024-10-14T18:09:00Z → 2024-10-14T18:09:42Z

Inputs

raw_filing:0000123456-24-000789

raw_filing:0000123456-23-000456

Outputs

normalized_filing:norm_0000123456-24-000789

normalized_filing:norm_0000123456-23-000456

checksum:primary_sha256

checksum:predecessor_sha256

Code Reference

cmdrvl-context @ commit_placeholder_003 / transform/normalize_filing.py

Step 4Update issuer state and emit transition event

SUCCESS

Duration

2024-10-14T18:10:00Z → 2024-10-14T18:10:04Z

Inputs

normalized_filing:norm_0000123456-24-000789

state_snapshot:issuer_91bf2a_latest

Outputs

state_snapshot:issuer_91bf2a_latest

transition_event:AMENDED_AFTER_PUBLICATION

Code Reference

cmdrvl-context @ commit_placeholder_004 / outcomes/edgar_state_machine.py

Step 5Generate evidence pack JSON

SUCCESS

Duration

2024-10-14T18:12:00Z → 2024-10-14T18:14:40Z

Inputs

transition_event:AMENDED_AFTER_PUBLICATION

normalized_filing:norm_0000123456-24-000789

normalized_filing:norm_0000123456-23-000456

Outputs

evidence_pack:run_2024_10_14_181522Z_04

Code Reference

cmdrvl-context @ commit_placeholder_005 / evidence/pack_builder.py

Step 6Deliver state transition to destinations

SUCCESS

Duration

2024-10-14T18:15:10Z → 2024-10-14T18:15:35Z

Inputs

evidence_pack:run_2024_10_14_181522Z_04

Outputs

delivery_log:run_2024_10_14_181522Z_04

Code Reference

cmdrvl-context @ commit_placeholder_006 / notify/deliver.py

Policy

Policy Version

policy_2024_10_01_v1

Assurance controls evaluated during this run. Failed checks must downgrade health_status or emit a degraded transition.

Budget Constraints

Max Retries/Step

Max Runtime (sec)

300

Max Fetch Bytes

50 MB

Assurance Checks

Check	Description	Status	Evaluated
sources_allowed	Only approved sources were used (SEC EDGAR).	PASS	2024-10-14T18:09:42Z
evidence_completeness	Evidence Pack contains required sections and hashes.	PASS	2024-10-14T18:14:40Z
delivery_success	At least one configured delivery channel succeeded.	PASS	2024-10-14T18:15:35Z

Entity Resolution

How identifiers were resolved and validated for this pack.

Issuer

HIGH

Input

CIK: 0000123456

Resolution Method

deterministic

Validation

CIK normalized to 10 digits (left-padded).
CIK matched EDGAR filing path and accession header.

Filings

0000123456-24-000789HIGH

deterministic

Accession found in EDGAR index snapshot and SEC Archives URL.

0000123456-23-000456HIGH

deterministic

Predecessor accession selected as immediate prior for issuer and form family.

Timing Semantics

Explicit timing semantics for audit: event_time (source), observed_time (ingestion), decision_time (delivery).

Event Time

(Source publication)

2024-10-14T17:58:11Z

Source: SEC EDGAR

Observed Time

(Ingestion & detection)

Ingested: 2024-10-14T18:09:42Z

Detected: 2024-10-14T18:10:04Z

Decision Time

(Delivery)

2024-10-14T18:15:22Z

Source: CMD+RVL delivery ledger

Clock Sources

sec_edgar_published_at

authoritative

cmdrvl_ingest_clock

operational

cmdrvl_delivery_clock

operational

Model Disclosure

LLM Used

Yes

Explicit model disclosure for any LLM-assisted steps. If llm_used=false, tasks must be empty.

LLM Tasks

diff_summary

HIGH

Provider

openai

Model

gpt-5.2

Temperature

0.2

Max Tokens

600

Input Refs

normalized_filing:norm_0000123456-24-000789

normalized_filing:norm_0000123456-23-000456

Output Ref

evidence.diff_summary

Prompt Hash

prompt_4f1c2a9b

narrative

MED

Provider

openai

Model

gpt-5.2

Temperature

0.2

Max Tokens

900

Input Refs

evidence.raw_diff

trigger

state_transition

Output Ref

evidence.narrative

Prompt Hash

prompt_7a9b1c0d