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U.K. Filings are here, just in time for AALL

July 13, 2016

Our brand new U.K. Filings search page is now live! To access it, go to Securities Mosaic, click on the “International Filings” tab on the navigation bar, and select U.K. Filings.

The release is just in time for the annual meeting and conference of the American Association of Law Libraries, being held now in Chicago. If you’re attending AALL, please swing by the Lexis Securities Mosaic booth (#603) to say hello and to hear more about what we’AALLve done and where we’re headed.  I’ll be personally present at the booth during much of the show.

In addition, I’ll be hosting a special Exhibitor Showcase on Sunday, July 17 at 1:30 p.m. Get a sneak peek of our soon-to-be-released enhanced search environment for SEC EDGAR filings.  The new Securities Mosaic SEC Filings page features post-search filters, a library of predefined searches, expanded redline comparison tools, section searching on registration statements (S-1, S-3, F-1), instant document download, and links to associated Comment Letter correspondence.  I look forward to hearing your feedback.

U.K. Filings coming soon to Securities Mosaic

June 27, 2016

union-jack-1027898_960_720How will the U.K.’s “Brexit” vote – its historic decision to break from the European Union — impact business in the U.K.?  There’s no better window into companies than their required disclosure in compliance with securities regulations.  And while Lexis Securities Mosaic has long offered the ability to see SEC EDGAR filings made by British companies that are traded on U.S. exchanges, it hasn’t offered access to filings made with U.K. regulators for companies traded on U.K. exchanges.

Until now.

We at Lexis Securities Mosaic are excited to announce the debut of our U.K. Filings search page, coming the week of July 11.  We’ll offer a complete collection, updated daily, of filings available through the National Storage Mechanism of the UK Listing Authority, under the oversight of the U.K.’s Financial Conduct Authority.

Our collection includes all filings by companies that have issued equity securities via the U.K. trading markets, notably the London Stock Exchange and Irish Stock Exchange, going back to the late 1990s.  Find documents related to new listings of securities (prospectuses, listing particulars), periodic reporting and financials (annual reports, current reports, quarterly reports), ownership (including insider activities), and shareholder communication by way of annual general meetings.   There are about 75,000 records in all.

Users can search by document category, document type, filer, date, and advanced text search (supporting both Boolean syntax and natural language constructions).  Custom alerts, available via email or RSS, can be created based on queries.  Search results can also emailed to colleagues or exported into Excel format.

The U.K. Filings search page is included as part of your current Securities Mosaic subscription, and will be found under the “International Filings” search tab, next to SEDAR (Canadian) filings.


Securities Mosaic: Looking forward, looking back

June 21, 2016

In the second half of 2016, Lexis Securities Mosaic will be unveiling some major product enhancements, kicking off in early July with the addition of U.K. Filings from the National Storage Mechanism.  Check this blog next week for more detail on that content addition. And for those who will be attending the 109th annual AALL conference in Chicago next month, I’ll be hosting a special session dedicated toCategory cloud Securities Mosaic, offering a sneak preview of another major feature release coming in September.

As a general rule, though, Blogmosaic is your best source for news and information on Securities Mosaic, including what’s new and what’s on the horizon.  Indeed, a search on the blog’s archive proves the point.  If you click on the the “product enhancements” link in the blog’s “category cloud,” you’ll see a long (and impressive) list of noteworthy enhancements and content additions over the last several years. What have we done for you lately, you ask?  Now you know.  And the best is yet to come!

The Lexis Securities Mosaic Corporate Counsel Report is here!

May 25, 2016

We are proud to announce the inaugural issue of the bi-weekly Lexis Securities Mosaic Corporate Counsel Report.  This newest addition to our venerable suite of news emails is aimed at lawyers who represent the interests of corporations, offering a resource to help them keep on top of the fast-paced, multi-faceted, and rapidly changing world they inhabit.

If you’re a Securities Mosaic subscriber, you can check out today’s issue, hot off the press, here.  Or you can sign up to have the Corporate Counsel Report delivered to your email inbox every other Wednesday.Manage News  Just click on your name in the upper right hand corner of the Securities Mosaic website, select Manage News Emails, and opt in. (You can also go there to opt out – but why would you?)  A personal account is required to receive the Corporate Counsel Report directly; contact your librarian or account administrator if you have questions. Going forward, subscribers will also be able to retrieve or search across past issues of Corporate Counsel Report going back six months by navigating to our News & Blogwatch archive.

If you’re not a Securities Mosaic subscriber, click here to learn more about the Corporate Counsel Report and request a free trial.


We’ll be in Washington attending FINRA; will you?

May 20, 2016
The Annual Conference of FINRA, the Financial Industry Regulatory Authority, begins this Sunday in our nation’s capital.  Lexis Securities Mosaic representatives will be on hand and are looking forward to meeting and greeting attendees.  Find us at booth #40. We can show you how Securities Mosaic offers global searching across a variety of SRO materials, how our Dodd-Frank Tracker keeps you on top of rulemaking that matters to you, and how you can find a wealth of up-to-date information on the brand new crowdfunding path to accessing capital markets.


The FINRA conference brings together regulators, investors, government officials, information providers, and others to discuss issues pertaining to the financial services industry.  The goal is to give financial professionals an opportunity to get up to speed in an ever-changing and complex regulatory environment.  We hope to see you there!

Washington Monument surrounded by American flags

March 2010, Washington, DC, USA — Washington Monument surrounded by American flags — Image by © Jose Fuste Raga/Corbis

Securities Mosaic introduces the Corporate Counsel Report

May 18, 2016

Next week, Lexis Securities Mosaic will unveil its first new newsletter in many years. Joining the ranks of the Daily Securities News, Blogwatch, and the various other publications that compose our highly regarded news service, the new Corporate Counsel Report represents our first news offering aimed at in-house counsel and the corporate lawyers who advise them.

The Corporate Counsel Report will be published bi-weekly, and will focus on current trends and hot topics from the previous two weeks in the areas of securities, M&A, and corporate governance.  The publication will typically include the following sections:

  • Top Stories is a wrap-up of noteworthy happenings from the previous two weeks, with links throughout to outside news sources and Lexis Securities Mosaic.
  • Law Firm Insights offers summaries of and links to selected pertinent law firm memos.
  • Notable No-Action LettersCCR screenshot also offers short summaries of selected content, with a focus on shareholder proposal issues.
  • Quick Hits includes compliance requirements, agency investigations, enforcement actions, and noteworthy M&A activity.

We’ll send the Corporate Counsel Report to many of our current Securities Mosaic subscribers every other Wednesday afternoon, beginning May 25.  You can email me directly if you have any questions:

Regulation Crowdfunding is here

May 16, 2016

The new JOBS Act-mandated crowdfunding rules become effective today, May 16 — and already this morning offering statements on new Form C are rolling in.  If you have access to Securities Mosaic, you can see them by clicking here.

The crowdfunding rules are intended to offer startups and smaller, private companies an easier path to raising capital.  As we noted in our March 18 blog post on the topic, regulation crowdfunding allows for multiple investors to buy securities online via SEC-registered broker-dealers or “funding portals,” which must register with the SEC via new Form CFPortal.  Read more from the SEC on the new filings associated with Regulation C here.


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