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fix(sec): CLI validation, portal-attribute reporting, gguf path check#201

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Jul 17, 2026
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fix(sec): CLI validation, portal-attribute reporting, gguf path check#201
sroussey merged 3 commits into
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claude/wonderful-hypatia-cp1226

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@sroussey sroussey commented Jul 17, 2026 •
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Four surgical fixes surfaced by an automated review sweep of recent main changes.

Summary

  • sec query facts <cik> validates its positional CIK the same way the xbrl subcommand does (/^\d+$/ + explicit error). parseInt("123abc", 10) was silently returning 123 and querying the wrong entity.
  • --sic on entities, --portal on crowdfunding, and the optional positional [cik] on reg-a-summary now reject an explicitly empty string instead of silently dropping the filter — extending commit 3901122's --cik fix (parseIntOption at the Commander layer for the flags; cik !== undefined ? parseIntOption(cik) : undefined for the optional positional).
  • accredited-portal attribute --all now reports the number of cleared rows. clearAll() returned void, so the backfill couldn't capture a count and the CLI message was gated to only mention cleared on --portal. clearAll() now counts-then-deletes (mirroring clearPortal), and the CLI print surfaces the count on both scopes.
  • SEC_*_MODEL=gguf:<path> with a non-.gguf local path now throws a SecCliConfigurationError at record-build time. node-llama-cpp's model_path was previously handed straight to the provider without a suffix check, letting a typo point loading at an arbitrary file. The remote-URI branches (gguf:hf:…, gguf:https://…) are untouched — they always synthesize a .gguf cache filename.

Test plan

  • bun x tsc --noEmit — clean.
  • bun test src/cli/groups/query.test.ts src/config/registerModels.test.ts — pass.
  • bun test src/cli/ src/config/ — pass across the wider CLI + config surface.
  • bun test src/resolver/ — pass (backfill path).
  • bun test src/storage/accredited-portal/ — pass (attribution repo).
  • One added regression test in src/cli/groups/query.test.ts asserts --sic on entities and --portal on crowdfunding both reject "" via parseIntOption.

claude added 3 commits July 17, 2026 17:03
@claude
fix(query): validate CIK on facts and reject empty --sic/--portal fil…
e9364be 
…ters

The facts subcommand called parseInt on its positional CIK without
validation, silently accepting inputs like "123abc" as 123 — the same
class of bug the xbrl subcommand already guards against. Mirror that
regex+throw pattern.

Extends the empty-CIK fix to two flags that still ran raw parseInt
inside a truthy-only ternary: --sic on entities and --portal on
crowdfunding both silently dropped their filter when passed an empty
string. The optional positional [cik] on reg-a-summary had the same
shape (cik ? parseIntOption(cik) : undefined) so "" collapsed to
undefined instead of erroring.
@claude
feat(accredited-portal): report cleared row count on --all backfill
20e92ec 
clearAll() returned void, so backfillFormDAttribution had nothing to
capture on the --all path and the CLI message was gated to only
mention the cleared count on --portal. Make clearAll() count-then-
delete (mirroring clearPortal), collapse the branch in the backfill
into a single assignment, and drop the ternary in the CLI print so
'attributed N filings ... (all portals, cleared M prior rows)' shows
on both paths.
@claude
fix(config): reject non-.gguf paths for local gguf: model configs
f164e5f 
A gguf: id resolved as a local path (relative to the GGUF models dir
or an absolute path) went straight into the ModelRecord's model_path
without checking the extension. node-llama-cpp loads model_path
directly, so a typoed or wrongly-shaped SEC_*_MODEL id could point at
an arbitrary file on disk. Reject anything that does not end in .gguf
with a SecCliConfigurationError; the remote-URI branches (hf: /
https://) are unaffected — they always cache under a synthesized .gguf
filename.
@sroussey
sroussey force-pushed the claude/wonderful-hypatia-cp1226 branch from 5c80f29 to f164e5f Compare July 17, 2026 17:54
@sroussey sroussey changed the title fix(sec): CLI validation, download dedupe, portal-attribute reporting fix(sec): CLI validation, portal-attribute reporting, gguf path check Jul 17, 2026
@sroussey
sroussey merged commit 6996e5e into main Jul 17, 2026
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@sroussey
sroussey deleted the claude/wonderful-hypatia-cp1226 branch July 17, 2026 19:31
sroussey added a commit that referenced this pull request Jul 17, 2026
@sroussey
chore: release @workglow/sec@0.0.10
ba52a5e 
### Features

- expose library surface for superset CLIs (#203)
- add accredited-investor portal attribution for Form D filings (#197)
- add SPAC consolidated report with lifecycle tracking (#164)
- add Form 8-K parsing and event storage infrastructure (#68)
- add CFPORTAL form parsing and Reg A query support (#133)
- track company facts fetch/store outcomes with retry support (#132)
- add offering terms, underwriters, and use-of-proceeds extraction (#128)
- extend ReadOnlyTabularStorage with new getOffsetPage method and update getBulk signature
- enhance ReadOnlyTabularStorage with pagination and query capabilities
- enhance bootstrap tasks and error handling

#### cli

- run query and db commands as task graphs via the workflow renderer
- honor --json flag in status and error output (#193)
- sponsor-family alias management + alias-aware 'spac by-family' query
- extend sec version coverage to resolver kind
- add sec canonical {person|company} alias commands
- add sec resolve --kind --version --all

#### models

- download model weights before use, with on-screen progress (#198)

#### eval

- default the S-1 oracle reference to opus
- golden-truth oracle + reconcile table/bio roles
- score field-values by F1 so over-production is penalized
- surface per-row/field disagreements after a run
- add OpenAI, Gemini, and xAI providers to the model harness
- oracle comparison over real S-1 sections
- model comparison harness + local model wiring

#### spac

- AI SPAC classifier, sponsor promote, de-SPAC linkage (#149, #150, #151)
- investorpres slot, portal featured, family descriptions
- target_description from merger proxies onto the deal + row
- SPAC business profile + leadership bio/birth_year extraction

#### xbrl

- ISO date transforms + CIK/dimension query coverage (#154) (#195)

#### s1

- skip nonce echo for local providers
- treat a board chair as implying director (drop redundant "Director")
- model person titles as a list of distinct roles (titles[])
- canonicalize management titles post-model
- extract SPAC sponsors into legal-sponsor + family tiers with links
- add extractSpacSponsors structured extractor
- write deterministic SPAC classification from header SIC
- add shared SGML-header + primary-document submission parser
- add real S-1 fixture sampler and document the extraction flow
- add dead-letter retry sweep, extractor CLI, and promote eligibility announce
- add S-1 prospectus extraction pipeline and dispatch
- add observation-provenance, beneficial-ownership, related-party, and dead-letter storage tiers

#### config

- node-llama-cpp GGUF local provider + workglow mega imports
- register SEC AI models in the global model repository

#### extractors

- register AI providers + retry model-error dead-letters without a version bump

#### sec

- SPAC de-SPAC lifecycle — 8-K milestones, merger-proxy & redemption extraction (#166)

#### forms

- route F-1 / F-1/A / F-1MEF (foreign issuer) through the S-1 extractor
- dispatch DRS/DRS/A to S-1 extractor; fetch registration forms as .txt
- split fetch/parse failure domains in ProcessAccessionDocFormTask
- ingest Section 16 (3/4/5) and Form 144 ownership filings (#116)

#### canonical

- add SponsorFamilyMembership + SpacSponsorLink tables with DI
- add CanonicalSponsorFamily + alias tables with DI
- emit current_canonical_* view DDL
- add alias repos with single-hop invariant
- add four canonical-level address/phone junction repos
- add CompanyIdentityLinkRepo
- add PersonIdentityLinkRepo
- add CanonicalCompanyRepo
- add CanonicalPersonRepo
- add alias schemas
- add canonical-level address/phone junction schemas
- add identity-link schemas
- add CanonicalCompanySchema
- add CanonicalPersonSchema

#### resolver

- add SponsorFamilyResolver + register sponsor-family resolver kind
- add EntityObserver helper for form storage modules
- add CompanyResolver v1 with CIK/CRD/name rules + alias pass
- add PersonResolver v1 with CIK/name rules + alias pass
- add resolverIds module

#### storage

- add S1ClassificationRepo (filing-level SPAC record) + DI

#### html

- add form-agnostic EDGAR HTML to Document-tree converter

#### versioning

- add dropPrevious tests for extractor and resolver kinds
- extend drop-previous to resolver rows + orphan cleanup
- add ceremony CLI (start-dev, promote, rollback, drop-next, coverage, history); remove seed-test
- add VersionCoverage and VersionHistory queries
- add ceremonies module (startDev / promote / rollback / dropNext)
- add getActiveSlot helper (next-if-exists routing)
- add VersionEventRepo for ceremony audit log
- add VersionEvent schema and DI wiring
- add semver helpers (parse, major.minor, bump-progression validation)
- add target_count column to component_versions
- add ExtractorRunRepo helper
- bootstrap extractor versions on db setup
- add idempotent bootstrapExtractorVersions seeder
- add FORM_TO_EXTRACTOR_ID mapping and ExtractorId type
- add 'sec version status' and 'sec version seed-test' CLI
- add VersionStatus query for CLI rendering
- add VersionRegistry helper with slot accessors
- register ComponentVersion and ExtractorRun repos in DI
- add ExtractorRun schema and DI token
- add ComponentVersion schema and DI token

#### observation

- add CompanyObservationRepo
- add PersonObservationRepo with natural-key upsert
- add CompanyObservationSchema
- add PersonObservationSchema

### Bug Fixes

- address xhigh code-review findings
- update warning messages and improve test descriptions
- DRSLTR dispatch, SPAC sponsor span verification, resolver test + RFC-9112 Content-Length (#127)
- address code review issues — dropPrevious orphan check, DbStatus new tables, drop-previous CLI verb, resolve test coverage, CompanyResolver secondary keys
- init

#### sec

- CLI validation, portal-attribute reporting, gguf path check (#201)
- make local GGUF models usable in eval and exit cleanly
- isolate redemption model-resolution + bulk-skip backfill candidates
- record extractor_runs for redemption + idempotent, fast backfill

#### query

- reject empty CIK filters

#### cli

- report expected user-errors through task output ports; dedupe tier wiring
- preserve JSON workflow error handling
- make streamed query totalApprox a meaningful lower bound (#112)

#### editorial

- isolate multi-file import failures

#### s1

- one owner per name; quote key lists in eval diffs
- drop ownership subtotal rows; add beneficial-ownership golden truth
- close the GBNF []-shortcut on nested titles[] too
- harden sponsor extraction + sponsor-family storage from code review

#### eval

- fail loudly when an extractor has no fixtures
- normalize commas and initial/suffix periods in name alignment
- restore stderr progress for eval tasks when piped

#### spac

- make de-SPAC linkage a write-once close-time snapshot
- stop deriving phantom deals after a completed combination
- gate SQLite withSpacCikLock through process-wide mutex (avoid concurrent BEGIN IMMEDIATE crash)
- allow caller-supplied pool client to recomputeSpacDeals to avoid deadlock with outer lock
- atomic per-CIK rollup writes + monotonic history chain
- record extractor_runs for merger-proxy + transactional recompute

#### storage

- implement no-op updateWhere on ReadOnlyTabularStorage

#### resolver

- stabilize person name parts across punctuation/glyph variants
- instance-scope per-key mutex so multi-process race tests test what they claim (#160)
- FamilyResolver — alias inside mutex + UPPER case-normalization (#129)
- add readonly to PersonClaim/CompanyClaim; single timestamp per method

#### s1,eval

- director nominees + typographic name alignment

#### eval,s1

- render titles arrays clearly in diffs; sharpen split prompt

#### sec/424

- record deterministic SPAC IPO event even when AI model fails to resolve

#### facts

- derive fy sentinel from end_date to preserve PK width across period-agnostic facts
- accept EDGAR facts with null fy/fp

#### sec/extractors

- move verify nonce out of untrusted fence into trusted preamble
- add NONCE_MISMATCH dead-letter reason code
- gate reapStaleObservations on version change to prevent LLM-variance data loss on same-version re-runs

#### sec/html

- strip title/svg/math to close prompt-injection bypass in body-level and foreign-content elements

#### config

- declare Anthropic model capabilities so StructuredGenerationTask resolves
- init SQLite binding in setupAllDatabases before view DDL

#### extractors

- degrade gracefully when the AI model is unregistered

#### submissions

- store every filing row (proxy slice yielded undefined)

#### review

- clarify details doc + single-pass investorpres derivation
- address code-review findings + prettier
- close wave-2 (#177/#178/#179) review findings
- close 6 findings from max-effort review of the consolidation

#### canonical

- serialize junction observation_count with KeyedMutex
- align junction columns with address/phone schemas

#### util

- parseDate rejects calendar-invalid dates

#### xbrl

- XbrlFactRepo.replaceForAccession no-ops on 0 rows unless intentionalClear

#### forms

- close stripDoctype bypass via leading XML comment / PI
- restore predefined-entity decoding via bounded processEntities + DOCTYPE strip
- apply prompt-injection seal to merger-proxy + redemption extractors
- treat empty fetch body as no-text and swallow dead-letter write failures
- explicit null address_id/international_number in Form_1_Z signature observation
- remove dead resolveCountryCode from Form_1_K.storage

#### forms/s1

- close residual Unicode-invisible defang bypass
- widen defang TAG_SHAPED to admit whitespace mid-tag (closes &#10; bypass)
- wire new extractMergerDeal / extractRedemption to nonce-fence API
- per-call nonce fence + raw-span cap + multi-stage defang

#### forms/8-K

- auto-resolve redemption-partial-oversized dead-letter (informational only)
- cap redemption AI input bytes; drop oversized exhibits
- persist redemption extraction even when SPAC has no deal yet
- trust the actual repo nature, not the lingering SEC_DB_TYPE token
- tx writes, versioned PK, accession unification, XML entity hardening

#### versioning

- partial-success outcome on extractor_runs
- bump test timeout on multi-spawn CLI tests to 15s
- address PR #109 review feedback
- address final review items
- reject all start-dev variants when next slot exists; drop dead check; comment promote atomicity
- patch-gate listFilingsWithoutSuccessfulRun on major.minor prefix
- address independent code review
- address PR #107 review feedback
- use cik: number in ExtractorRunRepo query API (matches codebase convention)
- address PR #106 review feedback
- enforce semver and coverage_complete invariants in putSlot
- drop redundant PK-prefix indexes; wire resetAllDatabases; sort imports

#### resolver,forms/s1

- PG unique-violation recognition + family-tier UNIQUE convergence + S-1/424 prompt-injection hardening (3× HIGH) (#163)

#### forms,storage

- Form 144/Ownership whitespace→null, PG dedup, Form_C/1-A stale-replay guards (#159)
- 5 HIGH review findings — stale replay, point-in-time, undated guard, deal sort, Schedule A (#155)
- Crowdfunding history on stale replay + CFPORTAL/A inheritance + docs (#135)
- address Copilot review on PR #124

#### storage/canonical

- enforce UNIQUE constraints to close resolver race (#158)

#### forms,portal

- undated 1-K/1-Z guard + deterministic stale-replay tie-break (2 HIGH from code review) (#156)

#### forms,storage,cli

- person-collision issuer guard + alias chain block + CLI input validation + coverage perf (#122)

#### resolver,storage,cli

- resolver race + observation_id PK + CSV NBSP + download leak (sec) (#121)

#### section16

- preserve null vs 0 for empty numeric leaves on Forms 3/4/5 (#116 follow-up) (#117)

#### observation

- align raw_phone_id maxLength with PhoneSchema

#### ci

- set 30s global test timeout for multi-spawn CLI tests

### Refactors

- remove unused fn

#### task

- move src/fetch to src/task/fetch
- relocate EnsureModelDownloadedTask to src/task/model and name the file after the task

#### config

- make ensureModelDownloaded a task that infers provider from the model id
- import node-llama-cpp via the workglow mega package
- drop the spac narrative-column migration

#### eval

- inline oracle sweep into EvalS1Task; own AI subtasks
- rename `sec eval s1 --candidates` to `--models`

#### cli

- graph-ify every command through the workflow renderer

#### normalize

- shared typographic-punctuation fold for names

#### portal

- drop the featured column

#### canonical

- extract shared CanonicalJunctionRepo base

#### resolver

- extract shared normalizeSponsorFamilyName for consistent family keys

#### queue

- integrate wrapQueueStorage for SecJobQueue components

#### storage

- delete legacy PersonRepo, CompanyRepo, and their schemas

#### forms

- rewrite Form_1_Z.storage onto EntityObserver
- rewrite Form_1_K.storage onto EntityObserver
- rewrite Form_1_A.storage onto EntityObserver
- rewrite Form_C.storage onto EntityObserver
- rewrite Form_D.storage onto EntityObserver
- rewrite Form_D.storage onto EntityObserver

#### versioning

- route form-processing tasks via getActiveSlot (next-if-exists)
- UpdateAllFormsTask reads extractor_runs, drops --force
- write extractor_runs from ProcessAccessionDocFormTask
- derive TypeBox literal unions from const arrays

### Tests

- use vitest so we can try node when needed
- add unit tests for SecFetchJob functionality

#### 424

- isolate the priced-prospectus fixture from S-1 discovery globs
- pin priced-prospectus pipeline with a real 424B4 golden fixture

#### versioning

- update registered-component assertions for sponsor-family resolver kind

#### s1

- add synthetic DRS .txt fixture exercising header parse + DRS dispatch
- end-to-end SPAC classification + sponsor family linkage + DRS dispatch

#### forms

- assert FETCH_ERROR status pending; clarify Domain 3 throw comment
- cover fetch-layer dead-letter paths (PRIMARY_DOC_UNRESOLVED, FETCH_ERROR, parse rethrow)

#### fixtures

- add fetch-fixtures script for pulling real EDGAR data (#108)

### Documentation

- update CLAUDE.md and new-module JSDoc for PR4
- update paths for design specs and plans in various skills and documentation

#### eval

- drop LFM2.5 references; default the sweeps to cloud models
- document evaluating Bonsai 27B via the local GGUF path (#187)

#### 8-K

- note metadata items/report_date are authoritative

#### s1

- document sponsor-text extraction strategy in processFormS1

### Chores

- rename bunsrc scripts for clarity
- bump workglow/cli 0.3.26, compromise 14.16.0, fast-xml-parser 5.10.0
- keep typebox 1.3.6 from main after rebase
- update deps
- keep extractor versions at 1.0.0 (no data to re-extract)
- update deps
- update deps
- ignore .worktrees directory
- update deps
- update deps
- update dependencies and ESLint configuration
- update dependencies and enhance CIK query functionality

#### config

- drop local HuggingFace/ONNX provider wiring
- register observation/canonical repos in DI; add view DDL

#### extractors

- default AI model to claude-sonnet-5 via shared SecModelDefault

#### deps

- update @workglow/cli and related packages to version 0.3.13; add new domNodes.ts file for cheerio DOM node types

#### versioning

- rename bootstrapExtractorVersions; seed resolver components
- register resolver:person and resolver:company
- retire processed_filings; DbStatus reports extractor_runs

### CI

- limit rebuilds

### Updated Dependencies

- `@modelcontextprotocol/sdk`: ^1.29.0
- `@workglow/cli`: 0.3.26
- `commander`: ^15.0.0
- `compromise`: ^14.16.0
- `fast-xml-parser`: ^5.10.0
- `pdf2json`: ^4.0.3
- `pg`: ^8.22.0
- `typebox`: 1.3.6
- `workglow`: 0.3.26
- `@types/bun`: 1.3.14
- `bunset`: 1.0.13
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@sroussey @claude