Browse Sources inventory and the section catalog for a single company. Covers SEC filings: 10-K, 10-Q, 8-K, DEF 14A, plus 20-F / 40-F / 6-K for foreign private issuers. Scope: filings-metadata utility. Returns filing list (form type, dates, accession numbers) plus per-section details (word count,...
Part of the MetricDuck — Financial Analysis server.
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AI agents call list_filings to retrieve information from MetricDuck — Financial Analysis without modifying any data. This is common in research, monitoring, and reporting workflows where the agent needs context before taking action. Because read operations don't change state, they are generally safe to allow without restrictions -- but you may still want rate limits to control API costs.
Even though list_filings only reads data, uncontrolled read access can leak sensitive information or rack up API costs. An agent caught in a retry loop could make thousands of calls per minute. A rate limit gives you a safety net without blocking legitimate use.
Read-only tools are safe to allow by default. No rate limit needed unless you want to control costs.
{
"version": "1",
"default": "deny",
"tools": {
"list_filings": {}
}
}See the full MetricDuck — Financial Analysis policy for all 22 tools.
These attack patterns abuse exactly the kind of access list_filings gives an agent. Each links to the full case and the policy that stops it:
Other read tools across the catalogue. The same approach applies to each: allow, with a rate cap to control cost.
Browse Sources inventory and the section catalog for a single company. Covers SEC filings: 10-K, 10-Q, 8-K, DEF 14A, plus 20-F / 40-F / 6-K for foreign private issuers. Scope: filings-metadata utility. Returns filing list (form type, dates, accession numbers) plus per-section details (word count, chunk count, tables) for 10-K/10-Q/DEF 14A; 8-K returns filing metadata only. Default: last 2 years. Use fiscal_year + fiscal_period to pin a single historical filing in one call. For signal triage and "what matters" in a filing, use get_filing_index instead. Use list_filings only when: - You need an accession_number for a specific historical filing (before get_xbrl_facts or get_filing_section) - You need to pin a specific fiscal year/period (e.g., FY2020 Q3) - You need the full section inventory with sizes to plan pagination - You need to confirm whether a specific filing exists Sister Sources (non-SEC): - Earnings call transcripts → compare_earnings_calls (cross-quarter view) - IR press releases / events → screen_filing_signals with signal_type="ir_press_release" Delisted / acquired issuers: pass cik (10-digit, zero-padded) instead of (or alongside) ticker and set include_delisted=true. SEC's ticker registry excludes delisted issuers, so ticker-only calls 404 even when filings exist in MetricDuck. Examples: SAVE Spirit Airlines (cik="0001498710"), RDFN Redfin (cik="0001382821"), ATVI Activision (cik="0000718877"). Data horizon: 2013+. Responses capped at ~20K chars; narrow via form_type, fiscal_year, or reduce years.. It is categorised as a Read tool in the MetricDuck — Financial Analysis MCP Server, which means it retrieves data without modifying state.
Register the MetricDuck — Financial Analysis MCP server in PolicyLayer and add a rule for list_filings: allow, deny, rate-limit, or require approval. Point your MCP client at the PolicyLayer proxy URL and the rule is enforced on every call, before it reaches MetricDuck — Financial Analysis. Nothing to install.
list_filings is a Read tool with low risk. Read-only tools are generally safe to allow by default.
Yes. Add a rate_limit block to the list_filings rule in your PolicyLayer policy. For example, setting max: 10 and window: 60 limits the tool to 10 calls per minute. Rate limits are tracked per agent session and reset automatically.
Set action: deny in the PolicyLayer policy for list_filings. The AI agent will receive a policy violation error and cannot call the tool. You can also include a reason field to explain why the tool is blocked.
list_filings is provided by the MetricDuck — Financial Analysis MCP server (https://mcp.metricduck.com/mcp). PolicyLayer sits as a proxy in front of this server to enforce policies before tool calls reach the server.
Deterministic rules across all 22 MetricDuck — Financial Analysis tools. Per-identity grants. Full audit log. Live in minutes. Nothing to install.
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