First A3 implementation checkpoint (design: docs/dolt-sec-a3-design.md).
- sec_client.py: async SEC EDGAR client honoring fair-access — identifying
User-Agent (config), request spacing < 10 req/s, exponential backoff on 429,
and 403 -> SecForbiddenError (alert and stop, never retry-loop). Fetchers:
company_tickers (normalised, multi-class share CIK), submissions (merges the
paginated filings.files shards so full history is visible), companyfacts,
daily_index (fixed-width form.idx parse), latest_index_date.
- sec_universe.py: resolve_ciks (tickers.cik backfill), refresh_sic
(sic/sic_description), and the composite-revision pieces — universe_fingerprint
(a new ticker changes the revision, so it's never no_op'd/starved),
index_content_hash, compose_revision.
- config + .env.example: SEC_USER_AGENT (must be a real contact email) + spacing
/ retries / timeout.
Verified live against real SEC: AAPL->320193, GOOG==GOOGL, BRK-B resolved;
submissions shard-merge proven (131 filings back to 1993); daily index parsed.
Tests: 11 (mocked-transport parsing + 403/429 handling + resolution/fingerprint).
Full suite 713 passed. Next slice: companyfacts -> snapshot parser + importer.
Co-Authored-By: Claude Opus 4.8 <noreply@anthropic.com>
dennisthiessenandClaude Opus 4.8
cc67aebe61