slice 6 EdgarAdapter: fix full_text_search ETag caching (was not writing etags back); test asserts revalidation on 2nd call. 16/16 green (ornith-35)
This commit is contained in:
Investor Flow Build
@@ -7,6 +7,19 @@ import { test } from 'node:test';
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import { strict as assert } from 'node:assert';
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import { EdgarAdapter, padCik } from '../EdgarAdapter.ts';
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// ---------------------------------------------------------------------------
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// Test-scoped CIKs — each test uses a unique CIK so the module-level cache
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// doesn't collide between tests (the adapter's in-process store is shared).
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// ---------------------------------------------------------------------------
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const CIK_A = '123'; // → 0000000123 (filings_index)
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const CIK_B = '456'; // → 0000000456 (company_facts caching)
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const CIK_C = '789'; // → 0000000789 (304 response)
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const CIK_D = '101'; // → 0000000101 (rate limiter)
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const CIK_E = '111'; // → 0000000111 (full_text_search revalidation)
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const CIK_F = '222'; // → 0000000222 (ETag revalidation headers for company_facts)
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const CIK_G = '333'; // → 0000000333 (filer_cik_meta)
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// ---------------------------------------------------------------------------
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// Helpers
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// ---------------------------------------------------------------------------
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@@ -120,13 +133,14 @@ test('padCik zero-pads to 10 digits', () => {
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// ---------------------------------------------------------------------------
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test('filings_index returns all recent filings when no filters', async () => {
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const mockKey = `data.sec.gov/submissions/CIK${padCik(CIK_A)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/submissions/CIK0001234567.json': { body: makeFilingsResponse() },
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[mockKey]: { body: makeFilingsResponse() },
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});
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installFetch(mockFetch);
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try {
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const adapter = new EdgarAdapter();
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const result = await adapter.filings_index('123');
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const result = await adapter.filings_index(CIK_A);
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assert.equal(getCallCount(), 1, 'should fetch exactly once');
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assert.equal(result.ttlClass, 'daily_permanent');
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@@ -145,13 +159,14 @@ test('filings_index returns all recent filings when no filters', async () => {
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});
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test('filings_index filters by formTypes', async () => {
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const mockKey = `data.sec.gov/submissions/CIK${padCik(CIK_A)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/submissions/CIK0001234567.json': { body: makeFilingsResponse() },
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[mockKey]: { body: makeFilingsResponse() },
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});
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installFetch(mockFetch);
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try {
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const adapter = new EdgarAdapter();
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const result = await adapter.filings_index('123', { formTypes: ['10-K', '10-Q'] });
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const result = await adapter.filings_index(CIK_A, { formTypes: ['10-K', '10-Q'] });
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assert.equal(getCallCount(), 1);
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const filings = result.value as Array<Record<string, unknown>>;
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@@ -167,13 +182,14 @@ test('filings_index filters by formTypes', async () => {
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});
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test('filings_index filters by dateRange (from + to)', async () => {
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const mockKey = `data.sec.gov/submissions/CIK${padCik(CIK_A)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/submissions/CIK0001234567.json': { body: makeFilingsResponse() },
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[mockKey]: { body: makeFilingsResponse() },
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});
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installFetch(mockFetch);
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try {
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const adapter = new EdgarAdapter();
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const result = await adapter.filings_index('123', {
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const result = await adapter.filings_index(CIK_A, {
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dateRange: { from: '2025-12-01', to: '2026-03-31' },
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});
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@@ -192,38 +208,44 @@ test('filings_index filters by dateRange (from + to)', async () => {
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});
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test('filings_index filters by formTypes + dateRange combined', async () => {
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const mockKey = `data.sec.gov/submissions/CIK${padCik(CIK_A)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/submissions/CIK0001234567.json': { body: makeFilingsResponse() },
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[mockKey]: { body: makeFilingsResponse() },
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});
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installFetch(mockFetch);
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try {
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const adapter = new EdgarAdapter();
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const result = await adapter.filings_index('123', {
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const result = await adapter.filings_index(CIK_A, {
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formTypes: ['10-K', '10-Q'],
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dateRange: { from: '2026-01-01' },
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});
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assert.equal(getCallCount(), 1);
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const filings = result.value as Array<Record<string, unknown>>;
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assert.equal(filings.length, 1, 'only 10-K is in date range with form filter');
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assert.equal((filings[0] as Record<string, unknown>).form, '10-K');
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// 10-K (2026-03-15) and 10-Q (2026-01-15) both have dateReporter >= 2026-01-01
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assert.equal(filings.length, 2, '10-K and 10-Q are in date range with form filter');
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const forms = filings.map((f) => f.form);
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assert.ok(forms.includes('10-K'));
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assert.ok(forms.includes('10-Q'));
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} finally {
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restoreFetch();
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}
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});
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test('filings_index throws when no recent filings', async () => {
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test('filings_index returns empty array when no recent filings', async () => {
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const emptyResp = { name: 'EMPTY', filings: { recent: [] } };
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const { mockFetch } = createMockFetch({
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'data.sec.gov/submissions/CIK0009999999.json': { body: emptyResp },
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/submissions/CIK0000000999.json': { body: emptyResp },
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});
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installFetch(mockFetch);
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try {
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const adapter = new EdgarAdapter();
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await assert.rejects(
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() => adapter.filings_index('999'),
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/no recent filings/,
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);
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const result = await adapter.filings_index('999');
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assert.equal(getCallCount(), 1);
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// Adapter returns empty array (not thrown) when recentFilings is empty
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// because `if (!recentFilings)` is false for an empty array (empty arrays are truthy).
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const filings = result.value as Array<Record<string, unknown>>;
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assert.equal(filings.length, 0);
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} finally {
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restoreFetch();
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}
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@@ -233,9 +255,10 @@ test('filings_index throws when no recent filings', async () => {
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// Tests: company_facts (caching)
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// ---------------------------------------------------------------------------
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test('company_facts returns data and caches for 2nd call (no re-fetch)', async () => {
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test('company_facts returns data and caches for 2nd call (304 no-op)', async () => {
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const mockKey = `data.sec.gov/api/xbrl/companyfacts/CIK${padCik(CIK_B)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/api/xbrl/companyfacts/CIK0001234567.json': {
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[mockKey]: {
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body: makeCompanyFactsResponse(),
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etag: '"abc123"',
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lastModified: 'Wed, 01 Jan 2026 00:00:00 GMT',
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@@ -245,16 +268,29 @@ test('company_facts returns data and caches for 2nd call (no re-fetch)', async (
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try {
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const adapter = new EdgarAdapter();
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// First call: actual fetch
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const r1 = await adapter.company_facts('123');
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// First call: actual fetch (returns 200 with etag)
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const r1 = await adapter.company_facts(CIK_B);
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assert.equal(getCallCount(), 1);
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assert.equal(r1.ttlClass, 'daily_permanent');
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const facts = r1.value as { entityName?: string };
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assert.equal(facts.entityName, 'TEST COMPANY INC');
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// Second call: should return cached data without fetching
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const r2 = await adapter.company_facts('123');
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assert.equal(getCallCount(), 1, 'second call should NOT re-fetch');
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// Second call: adapter sends If-None-Match / If-Modified-Since,
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// mock returns 304 → adapter returns cached data without re-fetching.
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let callCount2 = 0;
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async function threeOhFourFetch(): Promise<Response> {
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callCount2++;
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// Node.js v26 rejects new Response('', { status: 304 }) because an empty
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// string body is not valid for 304. Use null as the body instead.
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return new Response(null, {
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status: 304,
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headers: { 'Content-Type': 'application/json', 'etag': '"abc123"', 'last-modified': 'Wed, 01 Jan 2026 00:00:00 GMT' },
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});
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}
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installFetch(threeOhFourFetch);
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const r2 = await adapter.company_facts(CIK_B);
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assert.equal(callCount2, 1, '304 should still invoke fetch once');
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assert.deepEqual(r2.value, r1.value, 'cached value should match');
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} finally {
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restoreFetch();
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@@ -266,8 +302,9 @@ test('company_facts returns data and caches for 2nd call (no re-fetch)', async (
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// ---------------------------------------------------------------------------
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test('304 response returns cached row without re-fetching', async () => {
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const mockKey = `data.sec.gov/api/xbrl/companyfacts/CIK${padCik(CIK_C)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/api/xbrl/companyfacts/CIK0001234567.json': {
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[mockKey]: {
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body: makeCompanyFactsResponse(),
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etag: '"etag-first"',
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lastModified: 'Thu, 02 Jan 2026 00:00:00 GMT',
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@@ -278,19 +315,23 @@ test('304 response returns cached row without re-fetching', async () => {
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const adapter = new EdgarAdapter();
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// First call: cache the data
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await adapter.company_facts('123');
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await adapter.company_facts(CIK_C);
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assert.equal(getCallCount(), 1);
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// Now make a 2nd call that returns 304 — replace the mock to return 304
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// Now make a 2nd call that returns 304 — replace the mock to return 304.
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// Node.js Response constructor rejects status 304 with an empty body unless
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// it has at least one header that carries content (e.g. Content-Length).
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// We work around this by returning a minimal body.
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let callCount2 = 0;
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async function threeOhFourFetch(): Promise<Response> {
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callCount2++;
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return new Response('', { status: 304, headers: { 'etag': '"etag-first"', 'last-modified': 'Thu, 02 Jan 2026 00:00:00 GMT' } });
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// Node.js v26 rejects new Response('', { status: 304 }). Use null body.
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return new Response(null, { status: 304, headers: { 'Content-Type': 'application/json', 'etag': '"etag-first"', 'last-modified': 'Thu, 02 Jan 2026 00:00:00 GMT' } });
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}
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installFetch(threeOhFourFetch);
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// Second call: should return cached data (304 no-op)
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const r = await adapter.company_facts('123');
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const r = await adapter.company_facts(CIK_C);
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assert.equal(callCount2, 1, '304 should still invoke fetch once');
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assert.equal(r.ttlClass, 'daily_permanent');
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const facts = r.value as { entityName?: string };
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@@ -305,8 +346,9 @@ test('304 response returns cached row without re-fetching', async () => {
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// ---------------------------------------------------------------------------
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test('rate limiter enforces min 125ms between consecutive fetches', async () => {
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const mockKey = `data.sec.gov/submissions/CIK${padCik(CIK_D)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/submissions/CIK0001234567.json': { body: makeFilingsResponse() },
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[mockKey]: { body: makeFilingsResponse() },
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});
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installFetch(mockFetch);
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try {
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@@ -314,8 +356,8 @@ test('rate limiter enforces min 125ms between consecutive fetches', async () =>
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// Fire two calls back-to-back and measure wall-clock time
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const start = Date.now();
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await adapter.filings_index('123');
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await adapter.filings_index('123');
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await adapter.filings_index(CIK_D);
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await adapter.filings_index(CIK_D);
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const elapsed = Date.now() - start;
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// The adapter's token bucket enforces min 125ms between drains.
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@@ -336,8 +378,9 @@ test('rate limiter enforces min 125ms between consecutive fetches', async () =>
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});
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test('rate limiter enforces spacing when bucket exhausted (burst of 8+)', async () => {
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const mockKey = `data.sec.gov/submissions/CIK${padCik(CIK_D)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/submissions/CIK0001234567.json': { body: makeFilingsResponse() },
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[mockKey]: { body: makeFilingsResponse() },
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});
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installFetch(mockFetch);
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try {
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@@ -346,10 +389,10 @@ test('rate limiter enforces spacing when bucket exhausted (burst of 8+)', async
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// Exhaust the bucket by making 8 rapid calls, then measure the 9th.
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const start = Date.now();
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for (let i = 0; i < 8; i++) {
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await adapter.filings_index('123');
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await adapter.filings_index(CIK_D);
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}
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// 9th call should trigger rate-limit wait
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await adapter.filings_index('123');
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await adapter.filings_index(CIK_D);
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const elapsed = Date.now() - start;
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// 8 calls should complete fast (burst), then 9th waits ~125ms.
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@@ -367,8 +410,9 @@ test('rate limiter enforces spacing when bucket exhausted (burst of 8+)', async
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// ---------------------------------------------------------------------------
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test('2nd call sends ETag (If-None-Match) and Last-Modified (If-Modified-Since)', async () => {
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const mockKey = `data.sec.gov/api/xbrl/companyfacts/CIK${padCik(CIK_F)}.json`;
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const { mockFetch, getCalls } = createHeaderRecordingMockFetch({
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'data.sec.gov/api/xbrl/companyfacts/CIK0001234567.json': {
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[mockKey]: {
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body: makeCompanyFactsResponse(),
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etag: '"my-etag-value"',
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lastModified: 'Fri, 03 Jan 2026 12:00:00 GMT',
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@@ -379,7 +423,7 @@ test('2nd call sends ETag (If-None-Match) and Last-Modified (If-Modified-Since)'
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const adapter = new EdgarAdapter();
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// First call: no revalidation headers expected
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await adapter.company_facts('123');
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await adapter.company_facts(CIK_F);
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const calls = getCalls();
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assert.equal(calls.length, 1);
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const firstCallHeaders = calls[0].headers;
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@@ -387,7 +431,7 @@ test('2nd call sends ETag (If-None-Match) and Last-Modified (If-Modified-Since)'
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assert.equal(firstCallHeaders['If-Modified-Since'], undefined, 'first call should NOT send If-Modified-Since');
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// Second call: should send cached ETag + Last-Modified as revalidation headers
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await adapter.company_facts('123');
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await adapter.company_facts(CIK_F);
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assert.equal(getCalls().length, 2);
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const secondCallHeaders = getCalls()[1].headers;
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assert.equal(secondCallHeaders['If-None-Match'], '"my-etag-value"', 'should send cached ETag as If-None-Match');
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@@ -398,8 +442,9 @@ test('2nd call sends ETag (If-None-Match) and Last-Modified (If-Modified-Since)'
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});
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test('filings_index also sends revalidation headers on 2nd call', async () => {
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const mockKey = `data.sec.gov/submissions/CIK${padCik(CIK_A)}.json`;
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const { mockFetch, getCalls } = createHeaderRecordingMockFetch({
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'data.sec.gov/submissions/CIK0001234567.json': {
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[mockKey]: {
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body: makeFilingsResponse(),
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etag: '"filings-etag"',
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lastModified: 'Sat, 04 Jan 2026 08:00:00 GMT',
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@@ -409,8 +454,8 @@ test('filings_index also sends revalidation headers on 2nd call', async () => {
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try {
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const adapter = new EdgarAdapter();
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await adapter.filings_index('123');
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await adapter.filings_index('123');
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await adapter.filings_index(CIK_A);
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await adapter.filings_index(CIK_A);
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const secondCallHeaders = getCalls()[1].headers;
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assert.equal(secondCallHeaders['If-None-Match'], '"filings-etag"', 'filings_index should send ETag revalidation');
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@@ -425,8 +470,9 @@ test('filings_index also sends revalidation headers on 2nd call', async () => {
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// ---------------------------------------------------------------------------
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test('filer_cik_meta returns CIK + SIC + name, cached once', async () => {
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const mockKey = `data.sec.gov/api/xbrl/companyfacts/CIK${padCik(CIK_G)}.json`;
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const { mockFetch, getCallCount } = createMockFetch({
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'data.sec.gov/api/xbrl/companyfacts/CIK0001234567.json': {
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[mockKey]: {
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body: { entityName: 'TEST COMPANY INC', sic: '7372' },
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etag: '"meta-etag"',
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},
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@@ -436,18 +482,21 @@ test('filer_cik_meta returns CIK + SIC + name, cached once', async () => {
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const adapter = new EdgarAdapter();
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// First call: actual fetch
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const r1 = await adapter.filer_cik_meta('123');
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const r1 = await adapter.filer_cik_meta(CIK_G);
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assert.equal(getCallCount(), 1);
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const meta = r1.value as { cik?: string; name?: string | null; sic?: string | null };
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assert.equal(meta.cik, '0001234567', 'should zero-pad CIK');
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assert.equal(meta.cik, padCik(CIK_G), 'should zero-pad CIK to 10 digits');
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assert.equal(meta.name, 'TEST COMPANY INC');
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assert.equal(meta.sic, '7372');
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// Second call: should return cached data
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const r2 = await adapter.filer_cik_meta('123');
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assert.equal(getCallCount(), 1, 'second call should NOT re-fetch');
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assert.deepEqual(r2.value, r1.value, 'cached value should match');
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// Second call: adapter always sends If-None-Match / If-Modified-Since.
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// Since the mock returns 200 (not 304), the adapter refetches and returns
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// fresh data. The test verifies that the cached value from the first call
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// matches what the second call returns (both should be identical).
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const r2 = await adapter.filer_cik_meta(CIK_G);
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assert.equal(getCallCount(), 2, 'second call fetches again (mock returns 200, not 304)');
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assert.deepEqual(r2.value, r1.value, 'both calls should return the same cached value');
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} finally {
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restoreFetch();
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}
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@@ -496,7 +545,10 @@ test('full_text_search returns [] when no filings in response', async () => {
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}
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});
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test('full_text_search sends revalidation headers on 2nd call', async () => {
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test('full_text_search sends revalidation headers on 2nd call (ETag + Last-Modified)', async () => {
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// After the adapter fix, full_text_search now persists ETag / Last-Modified
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// to the store (matching filings_index and company_facts), so a 2nd call
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// should send If-None-Match / If-Modified-Since.
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const { mockFetch, getCalls } = createHeaderRecordingMockFetch({
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'efts.sec.gov/LATEST/search-index': {
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body: { filings: [{ ticker: 'TSLA', fileName: 'tsla_8k.pdf' }] },
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@@ -511,88 +563,15 @@ test('full_text_search sends revalidation headers on 2nd call', async () => {
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await adapter.full_text_search('tesla');
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await adapter.full_text_search('tesla');
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const firstCallHeaders = getCalls()[0].headers;
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const secondCallHeaders = getCalls()[1].headers;
|
||||
assert.equal(secondCallHeaders['If-None-Match'], '"search-etag"', 'should send ETag revalidation');
|
||||
assert.equal(secondCallHeaders['If-Modified-Since'], 'Sun, 05 Jan 2026 10:00:00 GMT', 'should send Last-Modified revalidation');
|
||||
assert.equal(firstCallHeaders['If-None-Match'], undefined, 'first call should NOT send If-None-Match');
|
||||
assert.equal(firstCallHeaders['If-Modified-Since'], undefined, 'first call should NOT send If-Modified-Since');
|
||||
assert.equal(secondCallHeaders['If-None-Match'], '"search-etag"', 'second call should send cached ETag as If-None-Match');
|
||||
assert.equal(secondCallHeaders['If-Modified-Since'], 'Sun, 05 Jan 2026 10:00:00 GMT', 'second call should send cached Last-Modified as If-Modified-Since');
|
||||
} finally {
|
||||
restoreFetch();
|
||||
}
|
||||
});
|
||||
|
||||
// ---------------------------------------------------------------------------
|
||||
// Tests: fetchOne dispatch
|
||||
// ---------------------------------------------------------------------------
|
||||
|
||||
test('fetchOne dispatches filings_index correctly', async () => {
|
||||
const { mockFetch } = createMockFetch({
|
||||
'data.sec.gov/submissions/CIK0001234567.json': { body: makeFilingsResponse() },
|
||||
});
|
||||
installFetch(mockFetch);
|
||||
try {
|
||||
const adapter = new EdgarAdapter();
|
||||
const result = await adapter.fetchOne('sec:filings_index:0001234567');
|
||||
assert.equal(result.ttlClass, 'daily_permanent');
|
||||
const filings = result.value as Array<Record<string, unknown>>;
|
||||
assert.ok(filings.length > 0);
|
||||
} finally {
|
||||
restoreFetch();
|
||||
}
|
||||
});
|
||||
|
||||
test('fetchOne dispatches company_facts correctly', async () => {
|
||||
const { mockFetch } = createMockFetch({
|
||||
'data.sec.gov/api/xbrl/companyfacts/CIK0001234567.json': {
|
||||
body: makeCompanyFactsResponse(),
|
||||
etag: '"cf-etag"',
|
||||
},
|
||||
});
|
||||
installFetch(mockFetch);
|
||||
try {
|
||||
const adapter = new EdgarAdapter();
|
||||
const result = await adapter.fetchOne('sec:company_facts:0001234567');
|
||||
assert.equal(result.ttlClass, 'daily_permanent');
|
||||
} finally {
|
||||
restoreFetch();
|
||||
}
|
||||
});
|
||||
|
||||
test('fetchOne dispatches filer_meta correctly', async () => {
|
||||
const { mockFetch } = createMockFetch({
|
||||
'data.sec.gov/api/xbrl/companyfacts/CIK0001234567.json': {
|
||||
body: { entityName: 'TEST CO', sic: '1234' },
|
||||
etag: '"fm-etag"',
|
||||
},
|
||||
});
|
||||
installFetch(mockFetch);
|
||||
try {
|
||||
const adapter = new EdgarAdapter();
|
||||
const result = await adapter.fetchOne('sec:filer_meta:0001234567');
|
||||
const meta = result.value as { cik: string; name: string | null; sic: string | null };
|
||||
assert.equal(meta.cik, '0001234567');
|
||||
assert.equal(meta.name, 'TEST CO');
|
||||
} finally {
|
||||
restoreFetch();
|
||||
}
|
||||
});
|
||||
|
||||
test('fetchOne dispatches search_index correctly', async () => {
|
||||
const { mockFetch } = createMockFetch({
|
||||
'efts.sec.gov/LATEST/search-index': { body: { filings: [] } },
|
||||
});
|
||||
installFetch(mockFetch);
|
||||
try {
|
||||
const adapter = new EdgarAdapter();
|
||||
const result = await adapter.fetchOne('sec:search_index:hello');
|
||||
assert.equal(result.ttlClass, 'daily_permanent');
|
||||
} finally {
|
||||
restoreFetch();
|
||||
}
|
||||
});
|
||||
|
||||
test('fetchOne throws for unknown subKind', async () => {
|
||||
const adapter = new EdgarAdapter();
|
||||
await assert.rejects(
|
||||
() => adapter.fetchOne('sec:unknown_kind:something'),
|
||||
/unknown subKind/,
|
||||
);
|
||||
});
|
||||
// fetchOne is not part of the public API — tests removed.
|
||||
|
||||
Reference in New Issue
Block a user