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Co-authored-by: Michael <mikedd@users.noreply.huggingface.co>

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+ *.7z filter=lfs diff=lfs merge=lfs -text
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+ *.arrow filter=lfs diff=lfs merge=lfs -text
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+ *.avro filter=lfs diff=lfs merge=lfs -text
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+ *.bin filter=lfs diff=lfs merge=lfs -text
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+ *.bz2 filter=lfs diff=lfs merge=lfs -text
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+ *.ckpt filter=lfs diff=lfs merge=lfs -text
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+ *.ftz filter=lfs diff=lfs merge=lfs -text
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+ *.gz filter=lfs diff=lfs merge=lfs -text
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+ *.h5 filter=lfs diff=lfs merge=lfs -text
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+ *.joblib filter=lfs diff=lfs merge=lfs -text
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+ *.lfs.* filter=lfs diff=lfs merge=lfs -text
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+ *.lz4 filter=lfs diff=lfs merge=lfs -text
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+ *.mds filter=lfs diff=lfs merge=lfs -text
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+ *.mlmodel filter=lfs diff=lfs merge=lfs -text
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+ *.model filter=lfs diff=lfs merge=lfs -text
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+ *.msgpack filter=lfs diff=lfs merge=lfs -text
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+ *.npy filter=lfs diff=lfs merge=lfs -text
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+ *.npz filter=lfs diff=lfs merge=lfs -text
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+ *.onnx filter=lfs diff=lfs merge=lfs -text
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+ *.ot filter=lfs diff=lfs merge=lfs -text
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+ *.parquet filter=lfs diff=lfs merge=lfs -text
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+ *.pb filter=lfs diff=lfs merge=lfs -text
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+ *.pickle filter=lfs diff=lfs merge=lfs -text
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+ *.pkl filter=lfs diff=lfs merge=lfs -text
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+ *.pt filter=lfs diff=lfs merge=lfs -text
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+ *.pth filter=lfs diff=lfs merge=lfs -text
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+ *.rar filter=lfs diff=lfs merge=lfs -text
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+ *.safetensors filter=lfs diff=lfs merge=lfs -text
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+ saved_model/**/* filter=lfs diff=lfs merge=lfs -text
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+ *.tar.* filter=lfs diff=lfs merge=lfs -text
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+ *.tar filter=lfs diff=lfs merge=lfs -text
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+ *.tflite filter=lfs diff=lfs merge=lfs -text
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+ *.tgz filter=lfs diff=lfs merge=lfs -text
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+ *.wasm filter=lfs diff=lfs merge=lfs -text
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+ *.xz filter=lfs diff=lfs merge=lfs -text
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+ *.zip filter=lfs diff=lfs merge=lfs -text
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+ *.zst filter=lfs diff=lfs merge=lfs -text
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+ *tfevents* filter=lfs diff=lfs merge=lfs -text
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+ # Audio files - uncompressed
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+ *.pcm filter=lfs diff=lfs merge=lfs -text
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+ *.sam filter=lfs diff=lfs merge=lfs -text
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+ *.raw filter=lfs diff=lfs merge=lfs -text
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+ # Audio files - compressed
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+ *.aac filter=lfs diff=lfs merge=lfs -text
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+ *.flac filter=lfs diff=lfs merge=lfs -text
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+ *.mp3 filter=lfs diff=lfs merge=lfs -text
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+ *.ogg filter=lfs diff=lfs merge=lfs -text
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+ *.wav filter=lfs diff=lfs merge=lfs -text
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+ # Image files - uncompressed
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+ *.bmp filter=lfs diff=lfs merge=lfs -text
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+ *.gif filter=lfs diff=lfs merge=lfs -text
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+ *.png filter=lfs diff=lfs merge=lfs -text
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+ *.tiff filter=lfs diff=lfs merge=lfs -text
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+ # Image files - compressed
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+ *.jpg filter=lfs diff=lfs merge=lfs -text
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+ *.jpeg filter=lfs diff=lfs merge=lfs -text
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+ *.webp filter=lfs diff=lfs merge=lfs -text
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+ # Video files - compressed
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+ *.mp4 filter=lfs diff=lfs merge=lfs -text
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+ *.webm filter=lfs diff=lfs merge=lfs -text
README.md ADDED
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+ ---
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+ license: cc-by-nc-4.0
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+ language:
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+ - en
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+ size_categories:
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+ - 1M<n<10M
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+ task_categories:
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+ - text-generation
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+ - question-answering
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+ - table-question-answering
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+ - text2text-generation
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+ pretty_name: SFD - SEC Filings Dataset (v1)
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+ tags:
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+ - finance
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+ - sec
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+ - edgar
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+ - financial-disclosure
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+ - long-context
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+ - regulatory
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+ - 10-K
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+ - 10-Q
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+ - 8-K
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+ - tables
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+ - multimarkdown
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+ configs:
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+ - config_name: default
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+ data_files:
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+ - split: train
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+ path: data/parsed/*.parquet
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+ ---
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+
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+ # SFD: SEC Filings Dataset (v1)
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+
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+ **SFD-v1** is an open, layout-faithful reconstruction of U.S. Securities and Exchange Commission (SEC) EDGAR filings into token-efficient MultiMarkdown (MMD), targeted at long-context language modeling, financial reasoning, document understanding, and evaluation.
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+
36
+ This release covers filings from **January 2022 through June 2025** (~3.4M filings), produced by the SFD parser described in:
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+
38
+ > *The SEC Filings Dataset: Reconstructing U.S. Corporate and Financial Disclosures into Layout-Faithful and Token-Efficient Pretraining Data.* Anonymous Authors (NeurIPS 2026 Evaluations & Datasets Track, under review).
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+
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+ The full SFD corpus is estimated at ~500B tokens across ~18.4M filings (1994–present); this release is a public snapshot focused on the most recent four-and-a-half years.
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+
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+ ## Key facts
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+
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+ - **Format:** [MultiMarkdown](https://fletcher.github.io/MultiMarkdown-6/) — preserves merged-cell tables (`||` colspan, `^^` rowspan), indentation, and visual hierarchy that standard text extraction destroys.
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+ - **Source formats handled:** HTML (\~62%), XML (\~18%), plaintext (\~18%), SGML (\~2%), PDF-via-OCR (\~1%) — see paper §3.
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+ - **Filings:** ~3.4M parsed `.md` documents across 350+ filing types (10-K, 10-Q, 8-K, Form 4, N-PORT, 13F, 485BPOS, ABS-EE, …).
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+ - **License:** CC-BY-NC-4.0 (parsed). Underlying SEC filings are U.S. Government public domain.
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+ - **Storage:** Parquet shards with zstd-15 compression, one shard per (year, month).
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+
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+ ## Schema
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+
52
+ Each row is one parsed filing.
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+
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+ | field | type | description |
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+ |-------|------|-------------|
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+ | `accession` | string | SEC accession number (e.g. `0000320193-24-000123`) |
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+ | `file_stem` | string | Stem of the original submission file |
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+ | `year` | int16 | Filing year |
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+ | `month` | int8 | Filing month (1–12) |
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+ | `parsed_md` | string | MultiMarkdown reconstruction of the filing |
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+ | `char_count` | int64 | Character count of `parsed_md` |
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+ | `md5` | string | MD5 of `parsed_md` (UTF-8) |
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+ | `has_ocr` | bool | True if any portion required Mistral OCR |
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+ | `source_format` | string | Primary source format (`html`, `xml`, `plaintext`, `sgml`, `pdf`) |
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+
66
+ ## Loading
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+
68
+ ```python
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+ from datasets import load_dataset
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+
71
+ ds = load_dataset("mikedd/EDGAR_FILINGS_DATASET", split="train", streaming=True)
72
+ for row in ds.take(1):
73
+ print(row["accession"], row["year"], row["month"], len(row["parsed_md"]))
74
+ ```
75
+
76
+ For a full local materialization (~50 GB on disk):
77
+
78
+ ```python
79
+ ds = load_dataset("mikedd/EDGAR_FILINGS_DATASET", split="train")
80
+ ds = ds.filter(lambda r: r["year"] == 2024) # or by month, source_format, etc.
81
+ ```
82
+
83
+ To recover the canonical SEC EDGAR URL for any row:
84
+
85
+ ```python
86
+ acc = row["accession"] # e.g. "0000320193-24-000123"
87
+ acc_clean = acc.replace("-", "")
88
+ url = f"https://www.sec.gov/Archives/edgar/data/{int(acc.split('-')[0])}/{acc_clean}/"
89
+ ```
90
+
91
+ ## Methodology summary
92
+
93
+ SFD treats filings as 2-D rendered grids rather than DOM trees:
94
+
95
+ - **HTML:** Reconstructs the *visual* coordinate system; collapses the "Three-Column Hack" (\$ / value / closing-paren split into separate cells); coalesces fragmented multi-row headers using `border-*` and `margin-*` cues; preserves indentation hierarchy by binning CSS units into discrete `&nbsp;` levels.
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+ - **XML:** Routes 33 specialized schemas (Forms 3/4/5, 13F, N-PORT, N-CEN, etc.) through schema-aware emitters that reconstruct human-readable disclosures from field hierarchies.
97
+ - **Plaintext / SGML:** Wraps fixed-width legacy filings in code fences to preserve column alignment; collapses 3+ blank lines to 2.
98
+ - **PDFs:** Run through Mistral OCR 3 in 10-page batches; HTML table fragments converted to MMD; near-blank pages skipped via pixel-variance filter.
99
+
100
+ Every row is prepended with `<SEC-HEADER>`-derived metadata (CIK, SIC, filing type, period of report, etc.) so each filing is self-contained.
101
+
102
+ See paper §3 for full details.
103
+
104
+ ## Companion benchmarks
105
+
106
+ Two evaluation benchmarks are derived from SFD and reported alongside this dataset:
107
+
108
+ - **EDGAR-OCR** — 300 hand-selected SEC tables, synthetically perturbed for contamination resistance, scored by adjusted recall over (content × placement × inline formatting).
109
+ - **EDGAR-Forecast** — 50 companies × 5 numeric targets each (250 total) drawn from 2026 10-Q filings, evaluated agentically with prior 5-year filing history visible.
110
+
111
+ Released separately when scoring is finalized.
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+
113
+ ## Citation
114
+
115
+ ```bibtex
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+ @inproceedings{anonymous2026sfd,
117
+ title={The SEC Filings Dataset: Reconstructing U.S. Corporate and Financial Disclosures into Layout-Faithful and Token-Efficient Pretraining Data},
118
+ author={Anonymous Authors},
119
+ booktitle={Advances in Neural Information Processing Systems (NeurIPS), Evaluations \& Datasets Track},
120
+ year={2026}
121
+ }
122
+ ```
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+
124
+ ## License & terms
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+
126
+ - **Parsed corpus (this release):** [CC BY-NC 4.0](https://creativecommons.org/licenses/by-nc/4.0/) — non-commercial use only with attribution. Derivative works must keep this notice.
127
+ - **Underlying raw filings:** U.S. Government public domain, available canonically from the SEC EDGAR system at <https://www.sec.gov/edgar>. Redistribution of raw filings under [CC BY 4.0](https://creativecommons.org/licenses/by/4.0/) attribution-style metadata is permitted.
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+ - **Mistral OCR outputs** (the small PDF subset, `has_ocr == True`) are subject to the [Mistral AI Terms of Service](https://mistral.ai/terms/) at the time of generation; downstream redistribution within this CC BY-NC 4.0 corpus is permitted.
129
+
130
+ ## Ethics, privacy, limitations
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+
132
+ - All filings are public regulatory disclosures with no expectation of privacy.
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+ - The dataset preserves filer-supplied content verbatim; SFD does **not** correct factual or accounting errors in the source filings.
134
+ - The MMD reconstruction is high-fidelity but not perfect; estimated ~99% structural/semantic accuracy. A small minority of filings (notably highly visual exhibits with low OCR-recoverable content) may have degraded representation.
135
+ - Token counts reflect the Qwen3-1.7B tokenizer; other tokenizers will differ.
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+
137
+ ## Provenance & versions
138
+
139
+ - **v1** (this release): 2022-01 → 2025-06, parsed by SFD pipeline rev `sec_parser`.
140
+ - Future releases will extend coverage to 1994–2021 and incrementally to 2025-07+.
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+
142
+ ## Contact
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+
144
+ - Anonymous Authors
croissant.json ADDED
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+ {
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+ "@context": {
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+ "@language": "en",
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+ "@vocab": "https://schema.org/",
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+ "citeAs": "cr:citeAs",
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+ "column": "cr:column",
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+ "conformsTo": "dct:conformsTo",
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+ "cr": "http://mlcommons.org/croissant/",
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+ "rai": "http://mlcommons.org/croissant/RAI/",
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+ "data": {
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+ "@id": "cr:data",
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+ "@type": "@json"
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+ },
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+ "dataType": {
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+ "@id": "cr:dataType",
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+ "@type": "@vocab"
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+ },
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+ "dct": "http://purl.org/dc/terms/",
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+ "examples": {
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+ "@id": "cr:examples",
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+ "@type": "@json"
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+ },
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+ "extract": "cr:extract",
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+ "field": "cr:field",
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+ "fileProperty": "cr:fileProperty",
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+ "fileObject": "cr:fileObject",
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+ "fileSet": "cr:fileSet",
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+ "format": "cr:format",
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+ "includes": "cr:includes",
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+ "isLiveDataset": "cr:isLiveDataset",
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+ "jsonPath": "cr:jsonPath",
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+ "key": "cr:key",
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+ "md5": "cr:md5",
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+ "parentField": "cr:parentField",
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+ "path": "cr:path",
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+ "recordSet": "cr:recordSet",
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+ "references": "cr:references",
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+ "regex": "cr:regex",
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+ "repeated": "cr:repeated",
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+ "replace": "cr:replace",
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+ "sc": "https://schema.org/",
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+ "separator": "cr:separator",
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+ "source": "cr:source",
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+ "subField": "cr:subField",
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+ "transform": "cr:transform"
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+ },
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+ "@type": "sc:Dataset",
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+ "name": "SFD",
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+ "description": "The SEC Filings Dataset (SFD-v1) is an open, layout-faithful reconstruction of U.S. SEC EDGAR filings into token-efficient MultiMarkdown. This release covers ~3.4M filings filed between January 2022 and June 2025, parsed from heterogeneous HTML, XML, plaintext, SGML, and PDF source formats. Tables are reconstructed using MultiMarkdown span notation (`||` for column spans, `^^` for row spans), preserving merged cells, multi-row headers, and indentation hierarchies that standard text extraction destroys. SFD-v1 supports long-context language modeling, financial reasoning, document understanding, and evaluation. The full SFD corpus is estimated at ~500B tokens across ~18.4M filings (1994-present); this release is a public snapshot of the most recent 4.5 years.",
50
+ "conformsTo": "http://mlcommons.org/croissant/1.0",
51
+ "license": "https://creativecommons.org/licenses/by-nc/4.0/",
52
+ "url": "https://huggingface.co/datasets/mikedd/EDGAR_FILINGS_DATASET",
53
+ "version": "1.0.0",
54
+ "datePublished": "2026-05-06",
55
+ "creator": [
56
+ {
57
+ "@type": "Person",
58
+ "name": "Anonymous Authors",
59
+ "affiliation": {
60
+ "@type": "Organization",
61
+ "name": "Anonymous Organization"
62
+ }
63
+ }
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+ ],
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+ "publisher": {
66
+ "@type": "Organization",
67
+ "name": "Anonymous Organization"
68
+ },
69
+ "citeAs": "@inproceedings{Anonymous2026sfd, title={The SEC Filings Dataset: Reconstructing U.S. Corporate and Financial Disclosures into Layout-Faithful and Token-Efficient Pretraining Data}, author={Anonymous Authors}, booktitle={Advances in Neural Information Processing Systems (NeurIPS), Evaluations and Datasets Track}, year={2026}}",
70
+ "keywords": [
71
+ "finance",
72
+ "sec",
73
+ "edgar",
74
+ "regulatory disclosure",
75
+ "10-K",
76
+ "10-Q",
77
+ "8-K",
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+ "long-context",
79
+ "table understanding",
80
+ "multimarkdown",
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+ "pretraining",
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+ "financial reasoning"
83
+ ],
84
+ "isLiveDataset": false,
85
+ "inLanguage": "en",
86
+ "distribution": [
87
+ {
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+ "@type": "cr:FileObject",
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+ "@id": "repo",
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+ "name": "repo",
91
+ "description": "Hugging Face dataset git repository hosting SFD-v1.",
92
+ "contentUrl": "https://huggingface.co/datasets/mikedd/EDGAR_FILINGS_DATASET",
93
+ "encodingFormat": "git+https",
94
+ "sha256": "https://github.com/mlcommons/croissant/issues/80"
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+ },
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+ {
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+ "@type": "cr:FileSet",
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+ "@id": "parquet-shards",
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+ "name": "parquet-shards",
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+ "description": "Per-month Parquet shards of parsed filings (zstd-15 compressed).",
101
+ "containedIn": {"@id": "repo"},
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+ "encodingFormat": "application/vnd.apache.parquet",
103
+ "includes": "data/parsed/*.parquet"
104
+ }
105
+ ],
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+ "recordSet": [
107
+ {
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+ "@type": "cr:RecordSet",
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+ "@id": "filings",
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+ "name": "filings",
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+ "description": "One record per parsed SEC filing.",
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+ "field": [
113
+ {
114
+ "@type": "cr:Field",
115
+ "@id": "filings/accession",
116
+ "name": "accession",
117
+ "description": "SEC accession number (e.g. 0000320193-24-000123).",
118
+ "dataType": "sc:Text",
119
+ "source": {
120
+ "fileSet": {"@id": "parquet-shards"},
121
+ "extract": {"column": "accession"}
122
+ }
123
+ },
124
+ {
125
+ "@type": "cr:Field",
126
+ "@id": "filings/file_stem",
127
+ "name": "file_stem",
128
+ "description": "Stem of the original submission file.",
129
+ "dataType": "sc:Text",
130
+ "source": {
131
+ "fileSet": {"@id": "parquet-shards"},
132
+ "extract": {"column": "file_stem"}
133
+ }
134
+ },
135
+ {
136
+ "@type": "cr:Field",
137
+ "@id": "filings/year",
138
+ "name": "year",
139
+ "description": "Filing year (UTC).",
140
+ "dataType": "sc:Integer",
141
+ "source": {
142
+ "fileSet": {"@id": "parquet-shards"},
143
+ "extract": {"column": "year"}
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+ }
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+ "rai:dataCollection": "Filings were retrieved from the public U.S. SEC EDGAR system (https://www.sec.gov/edgar) via canonical archive URLs. Submission types span 350+ form variants. Each submission's primary disclosure document was parsed; auxiliary attachments and exhibits were partitioned via SGML tags and parsed independently when content-bearing.",
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+ "rai:dataPreprocessingProtocol": "Format-routed parsing: HTML via 2-D coordinate-system reconstruction; XML via 33 schema-aware emitters; plaintext/SGML preserved via code-fence wrapping; PDFs via Mistral OCR 3 (10-page batches, near-blank-page filtering). Numerical normalization removes commas; non-semantic artifacts (orphan page numbers) are dropped; SEC header metadata (CIK, SIC, form type, period of report) is prepended to each document.",
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+ "rai:dataAnnotationProtocol": "No human annotation. Source-format labels and OCR-usage flags are assigned automatically by the parser.",
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+ "rai:dataReleaseMaintenancePlan": "Versioned releases via the HuggingFace dataset repository. v1 covers 2022-01 to 2025-06. Future versions will (a) backfill 1994-2021, (b) extend coverage past 2025-06 monthly. Issues should be filed at the HF dataset repo discussions.",
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+ "rai:dataUseCases": "Long-context language model pretraining on financial regulatory disclosures; financial reasoning, forecasting, and compliance benchmarks; document layout understanding and table parsing; retrieval-augmented generation over financial filings; XBRL-aligned named-entity and relation extraction.",
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+ "rai:dataLimitations": "Parsing fidelity is high (~99% estimated structural/semantic accuracy) but not perfect. A small minority of highly visual exhibits with poor OCR recovery may have degraded representation. Token counts reflect the Qwen3-1.7B tokenizer and will differ for other tokenizers. Coverage is limited to 2022-01 to 2025-06 in this release.",
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+ "rai:personalSensitiveInformation": "All filings are public regulatory disclosures filed by issuers and reporting persons under SEC rules; no expectation of privacy applies to their content. Reporting-person personal addresses and identifiers (e.g., insider ownership filings) are present as part of the regulatory record.",
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+ "rai:annotationsPerItem": "0 (no human annotation)",
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+ "rai:annotatorDemographics": "N/A - automated parsing only.",
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+ "rai:dataSocialImpact": "Lowers the barrier to studying U.S. corporate and financial disclosure at scale, supports auditing of LLMs on real-world regulatory text, and provides an open alternative to closed financial corpora.",
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+ "rai:dataBiases": "Coverage is U.S.-centric and skewed toward issuers active in U.S. capital markets. Filing-type token distribution is highly non-uniform (the top 5 form types account for ~35% of tokens). Recent years are over-represented relative to the full EDGAR archive in this v1 release."
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