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Duplicate from mikedd/EDGAR_FILINGS_DATASET
Browse filesCo-authored-by: Michael <mikedd@users.noreply.huggingface.co>
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- .gitattributes +60 -0
- README.md +144 -0
- croissant.json +226 -0
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- data/parsed/sfd-v1-2024-07.parquet +3 -0
- data/parsed/sfd-v1-2024-08-part01.parquet +3 -0
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- data/parsed/sfd-v1-2025-06.parquet +3 -0
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README.md
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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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# SFD: SEC Filings Dataset (v1)
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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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This release covers filings from **January 2022 through June 2025** (~3.4M filings), produced by the SFD parser described in:
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> *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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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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## Key facts
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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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## Schema
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Each row is one parsed filing.
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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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## Loading
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```python
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from datasets import load_dataset
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ds = load_dataset("mikedd/EDGAR_FILINGS_DATASET", split="train", streaming=True)
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for row in ds.take(1):
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print(row["accession"], row["year"], row["month"], len(row["parsed_md"]))
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```
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For a full local materialization (~50 GB on disk):
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| 77 |
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```python
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ds = load_dataset("mikedd/EDGAR_FILINGS_DATASET", split="train")
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ds = ds.filter(lambda r: r["year"] == 2024) # or by month, source_format, etc.
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```
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To recover the canonical SEC EDGAR URL for any row:
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```python
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acc = row["accession"] # e.g. "0000320193-24-000123"
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acc_clean = acc.replace("-", "")
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url = f"https://www.sec.gov/Archives/edgar/data/{int(acc.split('-')[0])}/{acc_clean}/"
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```
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## Methodology summary
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SFD treats filings as 2-D rendered grids rather than DOM trees:
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- **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 ` ` 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.
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- **Plaintext / SGML:** Wraps fixed-width legacy filings in code fences to preserve column alignment; collapses 3+ blank lines to 2.
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- **PDFs:** Run through Mistral OCR 3 in 10-page batches; HTML table fragments converted to MMD; near-blank pages skipped via pixel-variance filter.
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Every row is prepended with `<SEC-HEADER>`-derived metadata (CIK, SIC, filing type, period of report, etc.) so each filing is self-contained.
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See paper §3 for full details.
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## Companion benchmarks
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Two evaluation benchmarks are derived from SFD and reported alongside this dataset:
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- **EDGAR-OCR** — 300 hand-selected SEC tables, synthetically perturbed for contamination resistance, scored by adjusted recall over (content × placement × inline formatting).
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- **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.
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Released separately when scoring is finalized.
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## Citation
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```bibtex
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@inproceedings{anonymous2026sfd,
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title={The SEC Filings Dataset: Reconstructing U.S. Corporate and Financial Disclosures into Layout-Faithful and Token-Efficient Pretraining Data},
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author={Anonymous Authors},
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booktitle={Advances in Neural Information Processing Systems (NeurIPS), Evaluations \& Datasets Track},
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year={2026}
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}
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```
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## License & terms
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- **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.
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- **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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| 128 |
+
- **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
|
| 131 |
+
|
| 132 |
+
- All filings are public regulatory disclosures with no expectation of privacy.
|
| 133 |
+
- 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.
|
| 136 |
+
|
| 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+.
|
| 141 |
+
|
| 142 |
+
## Contact
|
| 143 |
+
|
| 144 |
+
- Anonymous Authors
|
croissant.json
ADDED
|
@@ -0,0 +1,226 @@
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|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
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|
|
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|
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|
|
|
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|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
{
|
| 2 |
+
"@context": {
|
| 3 |
+
"@language": "en",
|
| 4 |
+
"@vocab": "https://schema.org/",
|
| 5 |
+
"citeAs": "cr:citeAs",
|
| 6 |
+
"column": "cr:column",
|
| 7 |
+
"conformsTo": "dct:conformsTo",
|
| 8 |
+
"cr": "http://mlcommons.org/croissant/",
|
| 9 |
+
"rai": "http://mlcommons.org/croissant/RAI/",
|
| 10 |
+
"data": {
|
| 11 |
+
"@id": "cr:data",
|
| 12 |
+
"@type": "@json"
|
| 13 |
+
},
|
| 14 |
+
"dataType": {
|
| 15 |
+
"@id": "cr:dataType",
|
| 16 |
+
"@type": "@vocab"
|
| 17 |
+
},
|
| 18 |
+
"dct": "http://purl.org/dc/terms/",
|
| 19 |
+
"examples": {
|
| 20 |
+
"@id": "cr:examples",
|
| 21 |
+
"@type": "@json"
|
| 22 |
+
},
|
| 23 |
+
"extract": "cr:extract",
|
| 24 |
+
"field": "cr:field",
|
| 25 |
+
"fileProperty": "cr:fileProperty",
|
| 26 |
+
"fileObject": "cr:fileObject",
|
| 27 |
+
"fileSet": "cr:fileSet",
|
| 28 |
+
"format": "cr:format",
|
| 29 |
+
"includes": "cr:includes",
|
| 30 |
+
"isLiveDataset": "cr:isLiveDataset",
|
| 31 |
+
"jsonPath": "cr:jsonPath",
|
| 32 |
+
"key": "cr:key",
|
| 33 |
+
"md5": "cr:md5",
|
| 34 |
+
"parentField": "cr:parentField",
|
| 35 |
+
"path": "cr:path",
|
| 36 |
+
"recordSet": "cr:recordSet",
|
| 37 |
+
"references": "cr:references",
|
| 38 |
+
"regex": "cr:regex",
|
| 39 |
+
"repeated": "cr:repeated",
|
| 40 |
+
"replace": "cr:replace",
|
| 41 |
+
"sc": "https://schema.org/",
|
| 42 |
+
"separator": "cr:separator",
|
| 43 |
+
"source": "cr:source",
|
| 44 |
+
"subField": "cr:subField",
|
| 45 |
+
"transform": "cr:transform"
|
| 46 |
+
},
|
| 47 |
+
"@type": "sc:Dataset",
|
| 48 |
+
"name": "SFD",
|
| 49 |
+
"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 |
+
}
|
| 64 |
+
],
|
| 65 |
+
"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",
|
| 78 |
+
"long-context",
|
| 79 |
+
"table understanding",
|
| 80 |
+
"multimarkdown",
|
| 81 |
+
"pretraining",
|
| 82 |
+
"financial reasoning"
|
| 83 |
+
],
|
| 84 |
+
"isLiveDataset": false,
|
| 85 |
+
"inLanguage": "en",
|
| 86 |
+
"distribution": [
|
| 87 |
+
{
|
| 88 |
+
"@type": "cr:FileObject",
|
| 89 |
+
"@id": "repo",
|
| 90 |
+
"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"
|
| 95 |
+
},
|
| 96 |
+
{
|
| 97 |
+
"@type": "cr:FileSet",
|
| 98 |
+
"@id": "parquet-shards",
|
| 99 |
+
"name": "parquet-shards",
|
| 100 |
+
"description": "Per-month Parquet shards of parsed filings (zstd-15 compressed).",
|
| 101 |
+
"containedIn": {"@id": "repo"},
|
| 102 |
+
"encodingFormat": "application/vnd.apache.parquet",
|
| 103 |
+
"includes": "data/parsed/*.parquet"
|
| 104 |
+
}
|
| 105 |
+
],
|
| 106 |
+
"recordSet": [
|
| 107 |
+
{
|
| 108 |
+
"@type": "cr:RecordSet",
|
| 109 |
+
"@id": "filings",
|
| 110 |
+
"name": "filings",
|
| 111 |
+
"description": "One record per parsed SEC filing.",
|
| 112 |
+
"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"}
|
| 144 |
+
}
|
| 145 |
+
},
|
| 146 |
+
{
|
| 147 |
+
"@type": "cr:Field",
|
| 148 |
+
"@id": "filings/month",
|
| 149 |
+
"name": "month",
|
| 150 |
+
"description": "Filing month, 1-12.",
|
| 151 |
+
"dataType": "sc:Integer",
|
| 152 |
+
"source": {
|
| 153 |
+
"fileSet": {"@id": "parquet-shards"},
|
| 154 |
+
"extract": {"column": "month"}
|
| 155 |
+
}
|
| 156 |
+
},
|
| 157 |
+
{
|
| 158 |
+
"@type": "cr:Field",
|
| 159 |
+
"@id": "filings/parsed_md",
|
| 160 |
+
"name": "parsed_md",
|
| 161 |
+
"description": "Layout-faithful MultiMarkdown reconstruction of the filing, with `<SEC-HEADER>`-derived metadata prepended.",
|
| 162 |
+
"dataType": "sc:Text",
|
| 163 |
+
"source": {
|
| 164 |
+
"fileSet": {"@id": "parquet-shards"},
|
| 165 |
+
"extract": {"column": "parsed_md"}
|
| 166 |
+
}
|
| 167 |
+
},
|
| 168 |
+
{
|
| 169 |
+
"@type": "cr:Field",
|
| 170 |
+
"@id": "filings/char_count",
|
| 171 |
+
"name": "char_count",
|
| 172 |
+
"description": "UTF-8 character count of parsed_md.",
|
| 173 |
+
"dataType": "sc:Integer",
|
| 174 |
+
"source": {
|
| 175 |
+
"fileSet": {"@id": "parquet-shards"},
|
| 176 |
+
"extract": {"column": "char_count"}
|
| 177 |
+
}
|
| 178 |
+
},
|
| 179 |
+
{
|
| 180 |
+
"@type": "cr:Field",
|
| 181 |
+
"@id": "filings/md5",
|
| 182 |
+
"name": "md5",
|
| 183 |
+
"description": "MD5 hash of UTF-8 encoded parsed_md.",
|
| 184 |
+
"dataType": "sc:Text",
|
| 185 |
+
"source": {
|
| 186 |
+
"fileSet": {"@id": "parquet-shards"},
|
| 187 |
+
"extract": {"column": "md5"}
|
| 188 |
+
}
|
| 189 |
+
},
|
| 190 |
+
{
|
| 191 |
+
"@type": "cr:Field",
|
| 192 |
+
"@id": "filings/has_ocr",
|
| 193 |
+
"name": "has_ocr",
|
| 194 |
+
"description": "True if any portion of the filing required Mistral OCR (PDF or image content).",
|
| 195 |
+
"dataType": "sc:Boolean",
|
| 196 |
+
"source": {
|
| 197 |
+
"fileSet": {"@id": "parquet-shards"},
|
| 198 |
+
"extract": {"column": "has_ocr"}
|
| 199 |
+
}
|
| 200 |
+
},
|
| 201 |
+
{
|
| 202 |
+
"@type": "cr:Field",
|
| 203 |
+
"@id": "filings/source_format",
|
| 204 |
+
"name": "source_format",
|
| 205 |
+
"description": "Primary source format detected for the filing: html, xml, plaintext, sgml, or pdf.",
|
| 206 |
+
"dataType": "sc:Text",
|
| 207 |
+
"source": {
|
| 208 |
+
"fileSet": {"@id": "parquet-shards"},
|
| 209 |
+
"extract": {"column": "source_format"}
|
| 210 |
+
}
|
| 211 |
+
}
|
| 212 |
+
]
|
| 213 |
+
}
|
| 214 |
+
],
|
| 215 |
+
"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.",
|
| 216 |
+
"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.",
|
| 217 |
+
"rai:dataAnnotationProtocol": "No human annotation. Source-format labels and OCR-usage flags are assigned automatically by the parser.",
|
| 218 |
+
"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.",
|
| 219 |
+
"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.",
|
| 220 |
+
"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.",
|
| 221 |
+
"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.",
|
| 222 |
+
"rai:annotationsPerItem": "0 (no human annotation)",
|
| 223 |
+
"rai:annotatorDemographics": "N/A - automated parsing only.",
|
| 224 |
+
"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.",
|
| 225 |
+
"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."
|
| 226 |
+
}
|
data/parsed/sfd-v1-2022-01.parquet
ADDED
|
@@ -0,0 +1,3 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
version https://git-lfs.github.com/spec/v1
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+
size 1408854150
|
data/parsed/sfd-v1-2025-06.parquet
ADDED
|
@@ -0,0 +1,3 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
version https://git-lfs.github.com/spec/v1
|
| 2 |
+
oid sha256:16e47ee71c3d20e54a41f65c41462e28c646f55fd5d086dc86d77505b032818b
|
| 3 |
+
size 498043763
|