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Our Summer 2015 newsletter is here

August 21, 2015

What’s great, new, and on the horizon for Securities Mosaic?  Check out our Summer 2015 newsletter, featuring updates about recent enhancements to our SEC Comment Letters page and Reference Retriever tool, to get up to speed.  You can access a PDF version of the newsletter here.


Securities Mosaic and Current Awareness

August 16, 2015

Photo from Some right reserved. Click image for attribution.

How can Lexis® Securities Mosaic® keep you on top of things?  Lots of ways.  Not only can you stay ahead of the curve through our Securities News service and our law firm memos, but you can also use Securities Mosaic to track the actual legislation and rulemaking that may affect you and your clients, the administrative guidance that helps you understand how new rules are applied, and the recent disclosure that exemplifies compliance with new obligations and expectations.

Click the links below to read more about how Securities Mosaic can help you in these specific areas.

Securities Mosaic offline this weekend for scheduled maintenance

August 13, 2015

Important notice: Lexis® Securities Mosaic® will temporarily be unavailable this weekend, while we make upgrades to improve our service to you. Our upgrade work will begin on Friday, August 14 at 10:00pm EDT / 7:00pm PDT through Sunday evening, August 16.  We apologize in advance for any inconvenience and appreciate your patience. Thank you.

A new engine under the hood

August 6, 2015

Photo from Wikipedia Commons; some rights reserved. Click image for attribution.

Back in May, we quietly changed the URL for Lexis Securities Mosaic, from to   (In November we had already changed it from to, to coincide with our name change.)  This change was part of a major under-the-hood upgrade we made to our technical infrastructure, which has resulted in a faster, crisper, and more reliable experience for our users.

We had put in place a redirect to automatically route users to the new URL, so most didn’t notice the URL change.  Unfortunately, that redirect was down for a time on Thursday (it’s back up now), causing many of our users to wonder where we had gone.  Securities Mosaic itself actually never went anywhere — but those of you who used our former URLs were unfortunately unable to access the site for a time.  We apologize for that inconvenience.  But it gives us an opportunity to mention that is  our primary and official home.  The redirects will continue to work, but we still recommend you update your bookmarks and intranet sites.

How to Use Regulation A+ to Your Advantage While Ensuring Compliance with the New Rules

July 22, 2015
Image from; some rights reserved. Click for attribution.

Image from; some rights reserved. Click for attribution.

On June 19, 2015, Regulation A+ became effective, expanding Regulation A securities registration exemptions for many issuers. Regulation A+ was enacted as part of the JOBS Act of 2012 to create even more opportunities for small businesses to raise capital without having to comply with some of the more onerous features of the traditional registration process. Regulation A+ creates two Tiers of offerings that are exempt from registration under the Securities Act. Each tier has different offering caps, disclosure requirements, and ongoing reporting obligations, all of which enable issuers to have increased flexibility depending on their financing needs.

Tier 1 has offerings of securities of up to $20 million in a 12-month period, and Tier 2 has offerings of securities of up to $50 million in a 12-month period. Both Tiers are subject to certain basic requirements, while Tier 2 offerings are also subject to additional disclosure and ongoing reporting requirements.

Sifting through, keeping up with, and satisfying all of the new rules and requirements certainly can be overwhelming.

How can Lexis® Securities Mosaic help?

Use Lexis® Securities Mosaic to find recent disclosure; rulemaking and administrative guidance; and news and commentary related to Regulation A+, the registration process, and the new rule’s real-world applicability to small businesses.


  • Monitor Regulation A+’s new EDGAR forms. Accompanying the implementation of Regulation A+ is a host of new EDGAR forms, including 1-K (annual report), 1-U (current report), and 1-Z (exit report). By setting up alerts through the Securities Mosaic® SEC Filings page, you will be among the first to know when any of these new forms are filed with the SEC and see what they look like in action.
  • Track changes to Form 1-A. The amendments to Regulation A also include changes to its primary offering document, Form 1-A. Previously available only in hard copy, the new Form 1-A must now be submitted electronically.  Part II of the form has been revised to eliminate the Q&A disclosure format option and include additional disclosure requirements for Tier 2 issuers regarding executive compensation and related party transactions.  Search the Securities Mosaic® SEC Filings page for examples of Form 1-A to compare the old Form 1-A to the newly revised version and keep track of which companies are utilizing Regulation A+ offerings.
  • Look for an uptick in Form 8-A filings. Among the potential benefits of Regulation A+ is a streamlined process for Exchange Act registration under Section 12(b). Tier 2 issuers interested in listing their securities on a national securities exchange may use the Form 8-A short form registration statement, rather than Form 10, provided they follow the S-1 disclosure model on Part II of the offering document. The SEC has revised Form 8-A for use by Regulation A+ issuers; browse the Securities Mosaic® SEC Filings page to see Form 8-As submitted in connection with Regulation A+ offerings.


  • View the full text of the SEC adopting release and other federal agency materials. Search the Securities Mosaic® SEC Materials page to read the complete text of Regulation A+ as adopted by the SEC. Our Laws, Rules, and Agency Materials page can yield relevant materials from other agencies as well, including the GAO federal agency major rule report on Regulation A+.
  • Search and sign up for alerts on rulemaking related to the JOBS Act and other new laws affecting capital markets. Set up real-time alerts on Securities Mosaic® to help you track changes as they’re occurring and stay on top of your compliance and disclosure obligations.
  • Pull SEC guidance materials related to Regulation A+. Wondering if Regulation A+ issuers can use Twitter to “test the waters” without violating Rule 255 communication requirements? Curious how SEC staff will treat non-public correspondence submitted with the Regulation A+ offering circular for review prior to filing? Get the answers by visiting our SEC Materials search page and searching for “Regulation A+” within Compliance & Disclosure Interpretations and Other Guidance.

News and Commentary

  • Stay well-informed on everything related to securities. Subscribe to our Daily Securities News in your inbox each morning. This comprehensive newsletter includes SEC updates, corporate and securities news stories from an assortment of notable world news sources, recent law firm memos, market regulation updates, pending securities legislation, SEC enforcement, and an SEC Final Rules effective date calendar.
  • Check out what the top U.S. law firms are saying. Go to our database of over 100,000 Law Firm Memos and type in relevant keywords (e.g., “JOBS Act,” “Regulation A+,” “Form 8-A,” “Form 1-A”). Set up a daily alert to automatically receive the results of your personalized search in your inbox.
  • See what other influential analysts are saying. Sign up for our daily Securities Mosaic Blogwatch email, which includes opinion and analysis from well-respected sources such as and the Harvard Law School Forum on Corporate Governance and Financial Regulation. You can also text-search the past six months of content in our Blogwatch archive.

We’re in Philadelphia at AALL

July 20, 2015
Photo from Wikipedia Commons.  Some rights reserved.

Photo from Wikipedia Commons. Some rights reserved.

This year’s American Association of Law Librarians annual conference and trade show is going on right now (July 18 – 21) in historic Philadelphia.  Naturally, LexisNexis has a strong contingent there, including representatives from Securities Mosaic.   Please come by so we can show you why so many legal professionals rely on Securities Mosaic to do research in SEC disclosure, transactions, regulation, and compliance.  We can also point you to the booth of our sister product Lexis Practice Advisor, an essential resource for practical guidance in securities and other practice areas.

Watch this 3-minute video on Reference Retriever version 2

June 29, 2015

As we noted in this blog a couple of weeks ago, the new and greatly enhanced version of the Reference Retriever tool on Lexis Securities Mosaic is live.  Users who access SEC EDGAR filings through Securities MoPhoto from Wikipedia. Some rights reserved. saic now have instant access to most filings or exhibits referred to in other filings, including those incorporated by reference.  All it takes is a couple of clicks of your mouse to retrieve the referenced document.

To see the feature in action, you can watch this three-minute video on RR v.2.  Or, if you prefer to have your own personal guided tour, click here to schedule a live training with one of our product specialists.

We’d love to hear your feedback on the new feature!


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