Print   Close
Advanced Text Search Help
CFTC Enforcement - Defendant Search
Document Cart
Exempt Offerings Search
FINRA Adjudication - Defendant Search
Insider Search
Investigations Disclosure
Investment Adviser Search
Law Firm Memos
Law Firm Relationships
Laws, Rules, and Agency Materials
Manage Memo Alerts
Model Business Documents
News & Blogwatch Archive
News & Spotlight Archive
Private Placement Memoranda
Redline Tool
Registrations Search
Risk Factors
SEC Comment Letters
SEC Enforcement - Defendant Search
SEC Filings
SEC No-Action Letters
SEC Regulatory History
SEC Watchlist
SEDAR Filings
Text Searching Using Relevance

Advanced Text Search Help

Please Note:  Advanced Text Search Help does not apply to pages that return results based on relevance (currently the SEC Filings, Risk Factors, Laws, Rules, and Agency Materials, SEC Comment Letters, and Law Firm Memos pages). These pages use a new search logic which combines the use of Boolean operators with relevance to boost pertinent documents in your results. To learn more, view the relevance-based text search document, accessible via a link underneath the text search box on those search pages.
 


Feature

Example

Explanation

Advanced Features: Boolean and Other Operators

or

filing or disclosure 

Use or between search terms to expand your search by locating documents containing either search term.  In the example to the left, the search will generate results containing either word (or both).

and

commissioner and rulemaking

Use and between search terms to limit your search by locating documents in which both of the entered search terms appear.  In the example, the search will generate results containing both words in the same document.

not

violations not fraud

Use not between search terms to limit your search by locating documents in which the first search term appears, but the second search term does not. In the example search, results will include only documents in which the word "violations" appears but the word "fraud" does not. 

Search using Parentheses ( )

(stock purchase or stock buyback) and (open market or negotiated transactions) 

Use parentheses to order Boolean operators in a single search; commands inside parentheses are executed first. Parentheses are recommended when using more than two different operators.

Wildcard Search using an Asterisk *

trans*
amendment*

The first example will return words such as transport, transaction, transform, transition, etc.
The second example will return "amendment" or "amendments." 
To search for all words that begin with a specific string of characters, type in that string of characters followed by an *.

Please Note:  global capit*
but not glob* capitalization

The wildcard symbol can only be used at the end of the search term.

Please Note:  trad*
but not tr* 

The root of the wildcard search term must be at least 3 characters.

 

Other Guidelines

Upper/ Lower Case:

stock near purchase or
STOCK NEAR PURCHASE

The search engine is not case sensitive.  Use either lower case or upper case to enter your search terms or Boolean operators.  

Quotation Marks:

�Securities and Exchange Commission� (with quotation marks) will return results that contain that exact phrase. 

 

Securities and Exchange Commission (without quotation marks) will assume the "and" is a Boolean operator, so the search will return results that contain both the term "securities" and the term "exchange commission." 

Please Note:  Although quotation marks are not generally necessary for a text search, they are if your text string contains the words "and," "or," or "not."  Without quotation marks, these words will be treated as Boolean operators rather than as text. 

Illegal Characters:

Cannot use these: 
 !  @  #  $  %  ^

Some Non-Alphanumeric Characters are illegal in our system.
Illegal
characters include  !   @   #   $   %   ^

Other Characters:

Results may vary using these: 
 
(  )  -  ,  .  :  /  &

Search engines have difficulty differentiating certain other characters. Results may vary from text as entered.
These characters include (  )   -   ,   &  .   :   /  



[Return to All Help Table of Contents]



CFTC Enforcement - Defendant Search

 

Overview

Searching CFTC Enforcement - Defendant Search

    Release Number

    Defendant Name

    Defendant Place of Employment

    Defendant Type

    Position

    Violation

    Penalty Type

    Text Search

    Release Date

    Court

    Action

    Total Amount of Penalties

    Other Sanctions

Submitting a Search

Viewing Search Results

Viewing Releases

Using Releases

        Viewing a Document in PDF

        Emailing Documents

 


 

Overview   [top]

 

Contents: Public notices of CFTC enforcement activity and related documents.

Source: U.S. Commodity Futures Trading Commission

Updated: Daily

 

The CFTC Enforcement - Defendant Search page provides a uniquely powerful and efficient tool for researching CFTC enforcement. The database maintains about 2,000 CFTC releases and is useful for accessing the risk associated with white collar cases.

 

Search by type of action, court, defendant type or position, violation, penalty, CFTC release number, and date. Full-text searching for name or other keywords. Link to full text or related documents.

 


 

Searching CFTC Enforcement - Defendant Search   [top]

 

Search by one of the following search variables or a combination of variables. To remove your search terms and start over, click the Reset button under the search boxes. Once you have entered the desired search variables, click Search.

 

Release Number   [top]

 

If you know the CFTC release number, enter this information in the Release Number search box. 

 

Defendant Name   [top]

 

If you are searching for enforcement actions related to a specific defendant, type the name into the Defendant Name search box. If you don't know the exact way in which a defendant's name may be displayed, enter part of the name (example: smithers) or enter the individual's name as first name last name without commas (example: christopher smithers). In cases where the defendant name is an institution, you can enter all or part of the institution name (example: BP).

 

Defendant Place of Employment   [top]

 

If you are searching for enforcement actions related to a specific institution, you may type the institution's name into the Defendant Place of Employment search box (example: Amaranth). If you don't know the exact way in which the defendant's place of employment may be displayed, enter part of the name (example: Am) to ensure the proper releases are identified. Searching for a few letters of the company name will return the text found within any part of the defendant place of employment (example: "am" will return results such as First American Investments).

  

Defendant Type  [top]

 

If you would like to search for enforcement actions taken against a certain type of defendant, such as Hedge Funds, you may select one or more defendant type in the Defendant Type search box by holding down the Ctrl key while clicking additional action types.

 

Position   [top]

 

In order to use the Position search field, you will first need to designate the Defendant Type as "Individual". Once you have designated Defendant Type as "Individual" the items in the Position scroll-down menu will become active. Position relates to the employment classification of the individual, such as Broker/Dealer or Commodity Trading Adviser. You may select one or more positions from the Position scroll-down menu by holding down the Ctrl key while clicking additional position types. Selecting a Position type will limit results with Individual defendant types to those individuals with the specified position.

 

Violation   [top]

 

To view releases related to specific violations, such as Illegal Sales or Late Trading, you may select one or more violations from the Violation search box. You may select one or more positions from the Violation scroll-down menu by holding down the Ctrl key while clicking additional violation types. If you select more than one violation from this box, the results will include any release in which the defendant was charged with any of the violations you have selected.

 

Penalty Type   [top]

 

If you would like to limit the results to include only releases in which the defendant was ordered to pay a certain penalty type, such as Disgorgement, you may select one or more penalty types from the Penalty Type search box. You may select one or more penalty types from the Penalty Type scroll-down menu by holding down the Ctrl key while clicking additional penalty types.

 

Text Search   [top]

 

To search enforcement releases by keyword or words in the text, type them into the Text Search box.  For detailed information on using the advanced text searching features, such as Boolean and proximity searching, click Advanced Search Help hyperlink located underneath the Text Search box. 

 

Release Date   [top]

 

To search by release date, you may search by the general time period using the Time Frame drop-down menu (the default release date search method) or enter specific dates in the Date Range search boxes. To use the Date Range search boxes, you must first click the radio button next to Date Range and then enter dates in both search boxes. Enter dates in the format m/d/yyyy. 

 

If you click the radio button next to the Date Range but do not change the dates, the start date will be 4/28/1998, and the end date will be today's date. 

 

Court   [top]

 

To search enforcement releases by jurisdiction, use the Court scroll-down menu. To select more than one court for your search, hold down the Ctrl key while clicking additional courts. 

 

Action   [top]

 

If you are searching for a specific CFTC action type, such as a Penalty Order you may select this item from the Action scroll-down menu. To select more than one Action for your search, hold down the Ctrl key while clicking additional action types. 

 

Total Amount of Penalties  [top]

 

Using the Total Amount of Penalties search box, you may limit the releases to those in which the total penalty falls within the range you select. For instance, if you were looking for any release in which the total amount of all penalties ordered for a certain defendant fell between $50,000 and $99,999, you would select "$50,000 to $99,999" in this box.

 

Other Sanctions   [top]

 

To search for releases in which actions other than penalties were ordered, such as Affirmative Relief or Cease & Desist, you may select one or more action in the Other Sanctions search box. If you select more than one action from this box, the results will include any release in which the defendant was charged with either of the actions you have selected.

 


 

Submitting a Search   [top]

 

Once you have selected or entered the appropriate search variables, click Search.   

 

To start a different search, replace existing search variables or click the Reset button to return all search boxes to their default positions.

 


 

Viewing Search Results  [top]

 

Once you've clicked Search, search results appear below the search boxes. The number of records returned will be displayed at the top of the results list. Use the records per page drop-down to change the number of results displayed on one page. You can view 25, 50, 100 or 500 of your results on one page. You do not need to click search again to change the number of results per page; the page will refresh on its own with the new number of records/page you selected.

 


 

Viewing Releases   [top]

 

Full text is available for releases from 2006 going forward. To view the full text of a release, click the hyperlinked Release Number found within the search results. This will open the full text of the release. Once you have opened the release you have the option to view in PDF or Email (see "Using Releases" for detailed instructions on these features). 

 

CFTC Enforcement - Defendant Search also include links to Related Documents and Co-Defendant(s).

 

Clicking the hyperlinked folder found within the release entries titled Related Documents will return a list of documents related to the release. Clicking the hyperlinked related documents will open the full text of the related document.

 

Clicking the hyperlinked folder found within the release entries titled Co-Defendant will display a list of co-defendant(s) related to that release.

 


 

Using Releases   [top]

 

From the page displaying the full text of a release you may:

  • View a PDF version of the document

  • Email the document

Viewing a Document in PDF   [top]

 

To view a document in PDF, you must be in the screen that displays the text of the document. 

 

Once you have opened the full text of the document, click PDF located in the orange navigation bar near the top of the web page. Opening the filing in PDF will allow you to email and save the release in PDF format.

 

Emailing Documents   [top]

 

To email a document, you must be in the screen that displays the text of the document. 

 

Once you have opened the full text of a document, click Email located in the green navigation bar near the top of the web page. A new window will appear. Type in your name and email, then in the Recipient text box enter the email address to which you'd like to send the document; to enter multiple email addresses, separate each with a comma. The name, email, and recipient email fields are required, but it is important to note this information will be used only to provide a Reply-To address and name for the recipient. Use the blank "message box" to include any specific details for the recipient. Once you have completed the form click Email this Document. The entire document will be emailed to the addresses you have entered and the web page will refresh with a confirmation screen stating "The email has been sent." Clicking the Close link on this page will take you back to the full text of the release.



[Return to All Help Table of Contents]



Document Cart

 

Overview

Adding Items to Document Cart

Using Items in Document Cart

        Viewing Items

        Sorting Items

        Emailing Items

        Downloading Items

        Printing Items

        Removing Items

        Empty Cart

         


 

Overview   [top]

 

The Document Cart allows you to select up to 100 documents from throughout the website and add them to your "cart". At any time, you may access the document cart to email, download or print your selection of documents.

 

The Document Cart is a personalized account feature. To utilize this feature, log into your personal account. If your organization has IP Authentication (meaning you don't need to enter a login to access the website) you will need to create a personal account; a personal account is included in all firm-wide (IP Authenticated) licenses free of charge. To create a personal account, visit our Support tab, or you can call or email Knowledge Mosaic, 1.866.650.3600, KMsupport@lexisnexis.com.  

 


 

Adding Items to Document Cart   [top]

 

Most documents on Knowledge Mosaic may be added to the Document Cart. To add an item to your document cart, you must first click into the screen displaying the full text of the document. Once it has fully loaded, click Add to Document Cart (located near the top of the screen in the rust-colored bar). When you have clicked Add to Document Cart, a checkbox will appear to the right to let you know you have successfully added the document to your cart.

 

On some pages (such as SEC Filings and Laws, Rules, and Agency Materials), you can add several documents from a list of results to the Document Cart at once. After you have done a search and returned a set of results, use the check boxes to the left of each record to select the documents you would like to add to the cart. Click the Add Checked to Cart button above the list of results to add all the documents at once.

 

You may have a maximum of 100 items in your cart at any given time. If you have reached the maximum number of documents and try to add additional items, you will receive an error message stating "You have reached the maximum number of documents allowed per document cart." If this is the case, try opening your Document Cart and deleting any unnecessary items. Then close the cart, and try again. To remove all items from your Document Cart at once, click the Empty Cart link in the upper right of the screen. Click OK to confirm.

 


 

Using Items in Document Cart   [top]

 

Once you have added one or more items to your Document Cart, open the cart to view, email, download, print, or remove any or all of the documents. The document cart is accessible via the Doc Cart link found in the upper right of the orange banner at the top of any page of the website.

 

Viewing Items   [top]

 

To view individual items, click on the hyperlinked document title in the Document Title column at the left. This will open your document in PDF in a new window.

 

To view multiple items as a single PDF, select the checkboxes to the left of the documents that you would like to view. You may select (or unselect) all the documents in the Document Cart at once by checking (or unchecking) the All checkbox at the top of the list of documents. Once you have made your selections, click the View as Single PDF button at the top or bottom of the list. This will open all the documents you have selected in a single PDF in a new window. There is a 50MB size limit for single PDFs. If you hit this limit, you will be notified with an error message. At this point, uncheck some of your documents and try again.

 

Each item, whether viewed individually or as part of a group, will include a cover page with the available document metadata, such as document type and date. Once you are viewing a document, use Adobe Acrobat functions to save, print, or email the document.

 

Sorting Items   [top]

 

You may sort the order that the items in your Document Cart are displayed by clicking any of the underlined column headings. The default display orders the most recently added items at the bottom.

 

To sort alphabetically by document title, click Document Title. To sort by size of document, click File Size. To sort chronologically by the date the item was added to the cart, click Date Added. You can even group the items that have notes from the ones that don't by clicking on the Notes column heading.

 

Emailing Items   [top]

 

To email one or more items, select the checkboxes to the left of the documents that you would like to email. You may select (or unselect) all the documents in the Document Cart at once by checking (or unchecking) the All checkbox at the top of the list of documents. Once you have made your selections, click the Email Checked button at the top or bottom of the list. This will open a new window. Enter the email addresses to which you'd like to send the document, then your own email address (your email address will be used only to provide a Reply-To address for the recipient). Click Email This Document. Click Close to return to the Document Cart. Links to each document will be emailed to the addresses you have entered.

 

Downloading Items   [top]

 

To download one or more items to your computer, select the checkboxes to the left of the documents you'd like to download. You may select (or unselect) all the documents in the Document Cart at once by checking (or unchecking) the All checkbox at the top of the list of documents. Once you have made your selections, click the Download button at the top or bottom of the list. At this point, a new dialogue box will open, prompting you to either Open or Save the zip file (a folder that contains one or more documents, compressed to save space) containing the documents you've chosen to download. Once you've saved or opened the zip file, you can view each of the individual documents you've downloaded, or move them to another place on your computer.

 

Printing Items   [top]

 

To print individual items, click on the hyperlinked document title in the Document Title column at the left. This will open your document plus a cover page as a PDF in a new window, and you can use the Adobe Acrobat Print function to print the document.

 

To print multiple items, select the checkboxes to the left of the documents that you would like to print. You may select (or unselect) all the documents in the Document Cart at once by checking (or unchecking) the All checkbox at the top of the list of documents. Once you have made your selections, click the View as Single PDF button at the top or bottom of the list.

 

This will open all of your document in a single PDF in a new window. From here, use the Adobe Acrobat Print function to print all the selected documents with just one click. Each item, whether viewed individually or as part of a group, will also include a cover page with the available document metadata, such as document type and date.

 

Removing Items   [top]

 

To remove individual items from the Document Cart, select the checkboxes to the left of the documents that you would like to delete, then click the Delete button at the top or bottom of the list. Click OK to confirm.

 

Empty Cart   [top]

 

To remove all items from your Document Cart at once, click the Empty Cart link in the upper right of the screen. Click OK to confirm.



[Return to All Help Table of Contents]



Exempt Offerings Search -- Form D

 

Overview

Searching Exempt Offerings

    Text Search

        Search Related Persons and Names Only

        Search Issuer Names Only

        Search Sales Compensation Names Only

    Entity Type

    Org./Inc. Jurisdiction

    Filing Date

    Form Type

    Sales Compensation

    Exemptions

    Industry Group

    Issuer Size

        Revenue Range

        Aggregate Net Asset Value Range

    Type of Securities Offered

    Total Amount of Offering

Viewing Search Results

    Sorting Results

    Viewing Documents

Creating an Excel Report

Using Exempt Offerings Search Results

    Emailing Documents

    Saving and Printing Documents

    Adding to Document Cart

 

 


 

Overview   [top]

 

Contents: All electronically available Form D filings.

Source: SEC EDGAR Filings

Updated: Filings are updated approximately every 30 minutes

 

The Exempt Offerings Search page searches all electronically available Form D filings. The Issuers and Related Persons data are fully text searchable, and the filings can be searched by Industry, Issuer Size, Jurisdiction, Offering Amounts, Exemption types, and more.
 

SEC Release 33-8891 (effective March 16, 2009) stipulates that all Form D filings be filed electronically. See our Laws, Rules, and Agency Materials search page for current regulations and regulatory updates related to this release.

 

Use the Exempt Offerings database to search for details on private company filing exemptions, offerings, revenues, and more.

 


 

Searching Exempt Offerings   [top]

 

Search by one of the following search variables or a combination of variables.

 

Text Search   [top]

 

To search for Exempt Offerings by keyword or words in the text, type them into the Text Search box. The Text on Form D filings includes Issuer Names and addresses, Related Persons Names and addresses, and Sales Compensation Recipients (Brokers or Dealers).  For detailed information on using the advanced text searching features, such as Boolean and proximity searching, click the Advanced Search Help hyperlink located underneath the text search box.

 

The default for the text search is to search all Related Persons, Issuer Names, and Sales Compensations Recipients, or you can use the checkboxes below the text search box to search:

Search Related Persons Names Only   [top]

 

Selecting the Search Related Persons Names only checkbox (located underneath the text search box) will allow you to limit a text search to within the related persons section of the Exempt Offerings filings.

 

Search Issuer Names Only   [top]

 

Selecting the Search Issuer Names only checkbox (located underneath the text search box) will allow you to limit your text search to the Issuer fields of Form D Exempt Offerings filings.

 

Search Sales Compensation Names Only   [top]

 

Selecting the Search Sales Compensation Names only checkbox (located underneath the text search box) will allow you to limit your text search to the Sales Compensation Recipients and Broker/Dealer fields of Form D Exempt Offerings filings.

Entity Type   [top]

 

Use the Entity Type scroll-down menu to select one or more entity types. Entity types include Corporation, Limited Partnership, Limited Liability Company, General Partnership, Business Trust, and Other. To make multiple selections within the scroll-down menu, hold down the Ctrl key while clicking additional entity types. If you do not make a selection in this drop-down menu, your search will default to search for all entity types.

 

Org./Inc. Jurisdiction   [top]

 

To search by the location of jurisdiction of incorporation or organization, use the Org./Inc. Jurisdiction scroll-down menu and select one or more jurisdictions -- U.S. states or Foreign. The Foreign selection includes all jurisdictions outside the U.S. where a Form D filing has been submitted electronically. To make multiple selections within the scroll-down menu, hold down the Ctrl key while clicking additional jurisdictions. If you do not make a selection your search will default to search for results from all jurisdictions.

 

Filing Date   [top]

 

To search by filing date, you may search by the general time period using the Time Frame drop-down menu (this is the default date search method) or enter dates in the Date Range search boxes. To use the Date Range search boxes, you must first click the radio button next to Date Range and then enter dates in both search boxes. Enter dates in the format m/d/yyyy. 

 

If you click the radio button next to Date Range but do not change the dates, the start date will be 9/17/2008, and the end date will be today's date. You must enter both a start date and an end date.

 

If you don't make selections or entries in either of these boxes, your search will yield results for all dates. 

 

Form Type   [top]

 

Use the Form Type drop-down menu to select Form D, Form D/A (amended Form D), or both Form D and D/A. If you do not make a selection in this drop-down menu, your search will default to both Form D and amended Form Ds.


Sales Compensation   [top]

 

About 20% of Form D registrations identify the sales compensation recipient or broker dealer for the offering. By checking the box, you can limit your results to only those filings that show this information.

 

About 10% of Form D registrations indicate that the securities have been or will be sold to persons who are not accredited investors. By checking the box, you can limit your results to only those filings that show this information.

 

These two checkboxes can be used separately or in tandem. (If both are used, you are limiting your results in two ways, so the resulting pool will be even smaller.) 

 

Exemptions   [top]

 

To search for Form D filings by type of exemption, use the Exemptions scroll-down menu. To make multiple selections within the scroll-down menu, hold down the Ctrl key while clicking additional exemptions. If you do not make a selection in the Exemptions scroll-down menu, your search will default to return results for all exemptions.

 

Industry Group   [top]

 

Industry Group is a specific category required on the Form D filing and indicates the industry group that most accurately reflects the use of the bulk of the proceeds of the offering. If you do not make a selection in the Industry menu, your search will return results for all industries. 

 

Issuer Size   [top]

Revenue Range   [top]

 

To search by a company's revenue range, you must first make an industry selection. Once an Industry is selected the Revenue Range box will populate with ranges. All industries can be searched by revenue range except Hedge Funds and Other Investment Funds. If you do not make a selection in the Issuer Size drop-down menu, your search will default to return results for all issuer sizes.

 

Aggregate Net Asset Value Range   [top]

 

To search by Aggregate Net Asset Value Range you must first check the industry check box for Hedge Funds or Other Investment Funds. If you do not make an Aggregate Net Asset Value Range selection, your search will default to return results for Hedge Funds or Other Investment Funds of all offering amounts.

 

Type of Securities Offered   [top]

 

If you are looking for a particular type of securities registration type, such as debt or equity, select one or more types from the Type of Securities Offered search box. To make multiple selections in the scroll-down menu, hold down the Ctrl key while clicking additional security types. If you do not make a selection in this scroll-down menu, your search will default to all security types.

 

Total Amount of Offering   [top]

 

You may also limit your search by using the amount of the Total Amount of Offering menu. To make multiple selections within the menu, hold down the Ctrl key while clicking additional amount ranges.  If you do not make a selection in the Total Amount of Offering menu, your search will default to return results for all offering amounts.

 For more details on any of the above search fields, please review the Form D Instructions accessible from the Agency Search page.

 


 

Viewing Search Results   [top]

 

Once you've clicked Search, search results appear below the search boxes. At the top of the results, the number of results will be displayed. By default, results are displayed in reverse chronological order and include the issuer name and jurisdiction, filing date, form type, exemptions, related persons, sales compensation names, sales commissions/finders fees, securities type, and offering amount. 

Sorting Results   [top]

The results can be re-sorted by Issuer, Filing date, Securities Type, and Offering Amount by clicking on the column's hyperlinked heading.

To start a different search, replace existing search variables or click the Reset button to return all search boxes to their default positions. 

Viewing Documents   [top]

To view an individual Form D filing, click the hyperlinked Issuer name in the list of results. The document will open in HTML format with the Issuer Name in the title bar and links to view in PDF, Add to Document Cart, Email, and go Back to previous page.


 

Creating an Excel Report   [top]

 

Once you've clicked Search and have returned search results, you have the option to generate an Excel report of those search results. Excel Reports include your entire list of search results (corresponding to rows of the spreadsheet) as well as data associated with each record (corresponding to the columns). In the Excel Report generated by the Form D page, this data is 31 columns deep, extending beyond even the data fields offered on the search page itself. 

 

To create an Excel report, click Excel Report, located just above the search results; this will download the search results to your computer and prompt you to open the file in MS Excel.

 

If nothing happens when you click Excel Report, then it is possible your Internet Browser is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report or contact us at KMsupport@lexisnexis.com, 866.650.3600.

 


 

Using Exempt Offerings Search Results   [top]

 

From the page displaying the full text of a document you may:

  • Email the document

  • Save or Print the document in PDF

  • Add the document to your Document Cart

Emailing Documents   [top]

 

To email a document, you must be in the screen that displays the text of the document.

 

Once you have opened the full text of a document, click Email located in the orange title bar near the top of the web page. The web page will refresh and a new window will appear. Type in your name and email, then in the Recipient text box enter the email address to which you'd like to send the document; to enter multiple email addresses, separate each with a comma. The name, email, and recipient email fields are required, but it is important to note this information will be used only to provide a Reply-To address and name for the recipient. Use the blank "message box" to include any specific details for the recipient. Once you have completed the form click Email this Document. The entire document will be emailed to the addresses you have entered and the web page will refresh with a confirmation screen stating "The email has been sent." Clicking the Close link on this page will take you back to the full text of the document.

 

Saving and Printing Documents   [top]

 

To print a document, you must be in the screen that displays the text of the document in PDF. Although the document will load within the Knowledge Mosaic website in PDF; use the Adobe Acrobat tools to print, save, and email the document.

 

Adding to Document Cart   [top]  

 

The document cart allows you to select documents from throughout the website and add them to your cart. At any time, you may use the document cart to email or batch print your selection of documents. To add a document to your document cart, you must first be on the page displaying the full of the document in HTML. Click Add to Document Cart (located near the top of the screen in the orange bar). When you have clicked Add to Document Cart a checkbox will appear (to the right of "Add to Document Cart") to let you know the document is now in your cart.



[Return to All Help Table of Contents]



FINRA Adjudication - Defendant Search

 

Overview

Searching FINRA Adjudication - Defendant Search

    Decision Type

    Search records with Appellate Decisions only

    Decision Date

    Decision/Proceeding Number

    Violation

    Rule Violation

    Penalty Types

    Respondent Name

    Respondent Place of Employment

    Text Search

    Respondent Type

    Position

    Total Amount of Penalties

    Other Relief

Submitting a Search

Viewing FINRA Adjudication - Defendant Search Results

Creating a Printable Results Report

Using FINRA Adjudication - Defendant Search

        Add Proceedings to Document Cart

        Emailing Proceedings

        Saving and Printing Proceedings 


 

Overview  [top]

 

Contents: Adjudication decisions where FINRA has taken disciplinary action on firms or individuals through a settlement, or issuance of a formal complaint. This dataset contains Office of Hearing Officers orders and decisions, in addition to National Adjudicatory Council Decisions. 

Source: Financial Industry Regulatory Authority (FINRA)

Updated: Daily

 

Use this page to research FINRA adjudication decisions from 1997 to the present. Search hand-tagged taxonomies by rule violation, decision type, date, decision/proceeding number, respondent name, respondent place of employment, text, respondent type, respondent position, total amount of penalties, and other relief.

  


 

Searching FINRA Adjudication - Defendant Search  [top]

 

Search by one of the following search variables or a combination of variables. To remove your search terms and start over, click the Reset button under the search boxes. Once you have entered the desired search variables, click Search.

 

Decision Type  [top]

 

To search by the type of decision, such as decisions adjudicated by the Office of Hearing Officers (OHO) or the National Adjudicatory Council (NAC), make a selection in the Decision Type menu. If you do not make a selection, your search will default to all decision types.

Search records with Appellate Decisions only  [top]

 

Selecting the Search records with Appellate Decisions Only checkbox (located underneath the Decision Type menu) will

return only results for which appellate decisions have been rendered. If you do not select this checkbox, your search with return all results, regardless of whether an appellate decision has been rendered.

Decision Date  [top]

 

The FINRA Adjudication - Defendant Search dataset includes decisions made from 1997 to the present. Use the Time Frame drop-down menu to select date ranges such as Last 12 Months or Last 2 Years, or use the Date Range search boxes to enter a specific date range, such as 02/01/2003 - 04/15/2003. Enter dates in Date Range in the format mm/dd/yyyy. You must enter both a start date and an end date.

  

If you don't make selections or entries in either of these boxes, your search will yield results for all dates. 

  

Decision/Proceeding Number  [top]

 

To search for a decision or proceeding by number, use the Decision/Proceeding Number search parameter. Enter all or part of the proceeding number in the format CLI050014 or E8A20050252. If you do not enter a decision or proceeding number, your search will default to search for all decisions and proceedings.

 

Violation  [top]

 

To search for a decision by the type of violation, make a selection in the Violation scroll-down menu. To search by more than one violation type at a time, hold down the Ctrl key while clicking additional violation types. If you do not make a selection in this menu, your search will default to search for all violation types.

 

Rule Violation  [top]

 

To search for a decision by the type of rule violated, make a selection in the Rule Violation scroll-down menu. To search by more than one rule at a time, hold down the Ctrl key while clicking additional rules. If you do not make a selection in this menu, your search will default to search for all decisions regardless of rule violated.

 

Penalty Types  [top]

 

To search for a decision by the type of penalty, make a selection in the Penalty Type scroll-down menu. To search by more than one penalty type at a time, hold down the Ctrl key while clicking additional penalty types. If you do not make a selection in this menu, your search will default to search for all penalty types.

 

Respondent Name  [top]

 

To search for a decision by the type of name of respondent, enter a name in the Respondent Name text box. Respondent names can entered for individuals or businesses. Type all or part of the respondent's name, in the order first name, last name for individuals, or corporation name. If you do not type a name in the text box, your search will default to search for all respondents.

 

Respondent Place of Employment  [top]

 

To search for a decision by the name of respondent's place of employment, enter a name in the Respondent Place of Employment text box. Type the all or part of a company's name. If you do not type a place of employment in the text box, your search will default to search for all places of employment.

 

Text Search  [top]

  

To search for FINRA Adjudication releases by keyword or words in the text, type them into the Text Search box. For detailed information on using the advanced text searching features, such as Boolean operators, click the Advanced Search Help hyperlink located underneath the text search box. 

 

Respondent Type  [top]

 

To limit your search to just individual respondents or just corporate respondents, make a selection in the Respondent Type menu. If you do not make a selection, your search will default to all respondent types. You must select Individual in the respondent type menu in order to utilize the Position search parameter.

 

Position  [top]

 

To use the Position scroll-down menu, you must first select Individual in the respondent type menu. Once you have selected Individual in the respondent type menu, the search page will refresh and activate the Position search parameter. To search by more than one position at a time, hold down the Ctrl key while clicking additional positions. If you do not make a selection in this menu, your search will default to search for all positions.

 

Total Amount of Penalties  [top]

 

To search by the total amount of penalties imposed, make a selection in the Total Amount of Penalties scroll-down menu. To search by more than one penalty amount at a time, hold down the Ctrl key while clicking additional penalty amount. If you do not make a selection in this menu, your search will default to search for all penalty amounts.

 

Other Relief  [top]

 

To search by additional relief types FINRA has imposed on the respondent, make a selection in the Other Relief scroll-down menu. To search by more than one relief type at a time, hold down the Ctrl key while clicking additional relief types. If you do not make a selection in this menu, your search will default to search for all relief types.

 


 

Submitting a Search  [top]

 

Once you have selected or entered the appropriate search variables, click Search. To start a different search, replace existing search variables or click the Reset button to return all search boxes to their default positions.

 


 

Viewing FINRA Adjudication - Defendant Search Results  [top]

 

Once you've clicked Search, the search boxes remain at the top of the screen and the search results will appear below, grouped by respondent, in reverse chronological order. Search results include the respondent's name, details on the respondent's place of employment and position (where applicable), co-respondents, and HTML links to related FINRA proceedings.

 

The number of records returned will be displayed at the top of the results list. Use the records per page drop-down   to change the number of results displayed on one page. You can view 25, 50, 100 or 500 of your results on one page. You do not need to click search again to change the number of results per page; the page will refresh on its own with the new number of records/page you selected.

 

Creating a Printable Results Report  [top]

 

Once you've clicked Search and have a result set, you can extract the result list into a printable report. Located just below the records per page drop-down menu is a Printable Report link. By clicking this link, the printable report will extract the items displayed on the current page into a HTML document. To include more items in your printable report, you may increase the number of records per page that are displayed before you create your report.

Once you have opened your report, you may convert it to a PDF or print it as is by clicking the Print, Email, or PDF links in the upper right-hand corner of the page. To return to the original list of results, click the Back link.

 

Using FINRA Adjudication - Defendant Search  [top]

 

From the page displaying the full text of a proceeding you may:

 

          - Add the proceeding to your document cart

          - Email the proceeding

          - Save or Print the proceeding in PDF

 

Add Proceedings to Document Cart  [top]

 

The document cart allows you to select documents from throughout the website and add them to your cart. Once you are finished searching and collecting documents on Knowledge Mosaic, the document cart will allow you to email or batch print your selection of documents. To add a filing to your document cart, you must be logged in to your personal account. If you access the website without logging in, then your firm has a firm-wide license to Knowledge Mosaic; you may open a personal account at any time at no extra charge by emailing KMsupport@lexisnexis.com or calling us toll-free 866.650.3600.

 

Once you are logged in to your personal account, the document cart tool will be activated. To add FINRA documents to your document cart, you must first open the full text of the document that you would like to add to your document cart. Once the document has fully loaded, click Add to Document Cart (located in the orange bar above the document). When you have clicked Add to Document Cart a checkbox will appear (to the right of "Add to Document Cart") to let you know the document is now in your cart.

 

Your document cart is accessible from the orange navigation bar at the top of Knowledge Mosaic at any time and allows you to print, email, and add notes to your documents at any time. There is a 100 document maximum number of documents you can hold in your cart at a time. To access help instructions the document cart, click here.

 

Emailing Proceedings  [top]

 

To email a document, you must be in the screen that displays the text of the proceeding.  

 

Once you have opened the full text of a proceeding, click Email located in the orange bar above the document. The web page will refresh and a new window will appear. Type in your name and email, then in the Recipient text box enter the email address to which you'd like to send the proceeding; to enter multiple email addresses, separate each with a comma. The name, email, and recipient email fields are required, but it is important to note this information will be used only to provide a Reply-To address and name for the recipient. Use the blank "message box" to include any specific details for the recipient. Once you have completed the form click Email this Document. The entire proceeding will be emailed to the addresses you have entered and the web page will refresh with a confirmation screen stating "The email has been sent." Clicking the Close link on this page will take you back to the full text of the proceedings.

 

Saving and Printing Proceedings  [top]

 

To print a proceeding, you must be in the screen that displays the text of the proceeding. All the proceedings will load within the Knowledge Mosaic website in PDF; use the Adobe Acrobat tools to print, save, and email the proceeding.



[Return to All Help Table of Contents]



Insider Search

Overview
Searching Forms 3, 4, and 5
    Filer
        Company Name, Ticker, CIK
        Reporting Owner
    Owner Type
    Security Type
    Form Type
    Filing Date and Transaction Date
    Time Frame and Date Range
    Transaction Codes
Submitting a Search
Viewing Search Results
Sorting Search Results
Creating a Printable Results Report
Creating an Excel Report
Viewing Insider Filings
Using Insider Filings
    Emailing Documents
    Adding to Document Cart



Overview [top]

Contents: All SEC EDGAR filings for forms 3, 4 and 5 filed with the SEC since June 2, 2003
Source: SEC EDGAR Filings
Updated: Daily

The Insider Search database allows you to formulate searches specific to forms 3, 4, and 5. Search by Filer: Company Name, Ticker, or CIK, Reporting Owner, Owner Type, Security Type, Form Type, and Date
.

 


Searching Forms 3, 4, and 5 [top]

Enter search variables. If you change your mind while entering search variables and want to return all search boxes to their default states, click the Reset button.

Filer

Company Name, Ticker, or CIK [top]

This box allows you to search by Company Name, Ticker, or CIK simply by typing text for any of these filer identifiers in the text entry box. Suggested matches will appear as you type; these are generated when the characters you enter match the initial letters or numbers of a ticker symbol, CIK, or any word within a company name. So, if you don't know the complete name of a company, enter the part you do know. For example, if you type in PROD, you'll get matches for Sunoco Products Co., Avon Products, Inc., etc. You can then review your suggested matches and make your selection from the list. Or, you may choose to return results for all of the filers that appear in the selected matches dropdown. Enter at least 3 characters to get company name matches.

TIP: Multiple suggested matches with the same CIK may appear in the dropdown. It doesn't matter which of these you select; the results will be the same, since they are mapped to a filer's CIK.

You may include more than one filer in the same search. After you've made your first selection, repeat the process above. Semi-colons to divide your filers will automatically be placed between them in the text entry box.

If you don't enter a specific company, your search will return results that match up with the other search variables you select on the search page, regardless of the name of the company on the filing.


Reporting Owner
[top]

If you are searching by individual shareholder, enter part or all of the name of the reporting owner in the Reporting Owner entry box. As in the Company name box, suggested matches will appear as you type, and the entry box functions as described above.


Owner Type [top] 

Clicking the Owner Type combo box will allow you to limit your results to filings made by one or more of the following types of owner: Director, Officer, or Ten Percent Owner. Use the Ctrl key to select more than one type. Refer to the SEC Code of Regulations for definitions of Director and Officer. If you do not make a selection here, your search results will include all three owner types. 


Security Type [top]
  
In this drop-down menu, select between Derivative or Non-Derivative securities, or make no change and default to All Types of securities.


Form Type [top]

Use the Form Type drop-down menu to select Form 3, Form 4, Form 5, or Forms 4 and 5.  If you do not change the selection in this search box, your search will default to Form 3.


Filing Date and Earliest Transaction Date [top]

Search SEC Insider filings by Filing Date or Transaction Date. The search defaults to Filing Date. Form 3 can only be searched by Filing Date. In order to utilize the Transaction Date search function, first use the Form Type drop-down menu and select one of the following: Form 4, Form 5, or Forms 4 and 5.  Once you have selected one of these three Form Type options, the page will refresh which will then allow you to check the bubble next to Transaction Date.


Time Frame and Date Range [top]

Time Frame is a flexible variable with options such as Last 12 Months or Last 2 Years. You can only make one selection from the drop-down menu in the Time Frame search box.

In the Date Range search boxes, you can enter a very specific date range for your search, such as 02/01/2003 - 04/15/2003. Enter dates in Date Range in the format mm/dd/yyyy.

If you don't make selections or entries in either of these boxes, your search will yield results for all dates. 

TIP: You may enter either a Time Frame or a Date Range, but NOT both.

Transaction Codes
[top]  

When you select Form Type 4, 5, or 4 and 5 in the Form Type drop-down menu the page will refresh with a checklist of different transaction codes you can use in your search.

Transaction codes are broken down into General Transaction Codes, Rule 16b-3 Transaction Codes, Derivative Securities Codes, Other Section 16(b) Exempt Transaction and Small Acquisition Codes, and Other Transaction Codes. Transaction codes appear under each heading with an explanation of the code at right. Leave all checkboxes unchecked to include all transaction codes in your search. Checking one or more checkboxes will limit your search to only those filings that include transaction codes you've checked.
 

Submitting a Search [top]

When you have entered your desired search variables, click Search to see search results.

Search results will appear below the search form. If you see the message No records match your criteria when you click Search, this means there are no insider filings that fall within your search parameters. To edit your search, change the parameters in any of the search fields and click Search to see your new results.

 


Viewing Search Results [top]

After clicking Search, results will appear below the search form.  The search parameters listed in the results are: Company, Reporting Owner, Filing Date, Security Type, Form Type, and Owner Type. If your search includes Form 4 or 5, the Transaction Date and Transaction Code will also be listed. Results will automatically display in reverse chronological order by Filing Date.

Use the records per page drop-down to change the number of results displayed on one page. You can view 10, 25, 50, or 100 of your results on one page.

 


Sorting Search Results [top]

To change the sorting to Filing Date - Oldest First, or to sort by Transaction Date, Company Name, or Reporting Owner, use the Sort by drop-down menu located on the right side just above the first result display. Selecting another sorting option will refresh the page with results displaying in the order you selected.

 


Creating a Printable Results Report [top]

Once you've clicked Search and have a result set, you can extract the result list into a printable report. Located to the right of the records per page drop-down is a Printable Report link. By clicking this link, the printable report will extract the items displayed on the current page into a HTML document. To include more items in your printable report, increase the number of records per page that are displayed before you click Printable Report.
Once you have created your report, you may print it, email, or convert it to a PDF by clicking the Print, Email, or PDF links in the upper right-hand corner of the page. To return to the original list of results, click the Close link.

 


Creating an Excel Report [top]

Once you've clicked Search and have returned search results, you have the option to generate an Excel report of your search results. Excel Reports include your entire list of search results (up to 2,000 records) and provide a variety of ways by which to sort and display results.

To create an Excel report, click Excel Report, located just above the search results on the right; this will download your search results to your computer and prompt you to open the file in MS Excel.
 
If nothing happens when you click Excel Report, then it is possible your internet browser is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report, or contact us at KMsupport@lexisnexis.com, 866.650.3600.

 


Viewing Insider Filings [top]

To view a particular filing, click the hyperlinked filing date and the full filing will open. By default, the filing will open in a new window or tab, allowing you to view multiple filings simultaneously.  Your list of results will remain open in its browser window.  

 


Using Insider Filings [top]

From the page displaying the full text of an Insider Filing you may:

  • Email the document (see below)
  • View the document in PDF (Click Pop-out(PDF))
  • Add the document to your Document Cart  (see below)


Emailing Documents [top]

To email a document, you must be in the screen that displays the text of the document.
Click the word Email in the top bar. A new window will appear. Type in the email addresses to which you'd like to send the document, then your own email address. (Your email address will be used only to provide a Reply-To address for the recipient.) Click Email this Document. The entire document will be emailed to the address(es) you have entered. To email multiple documents in a single email, use the Document Cart.


Adding to Document Cart [top]

The Document Cart allows you to select documents from throughout the website and add them to your cart. Once you are finished searching and collecting documents on Knowledge Mosaic, the document cart will allow you to email or batch print your selection of documents. To add a filing to your document cart, you must be logged in to your personal account. If you access the website without logging in, then your firm has a firm-wide license to Knowledge Mosaic. You may open a personal account at any time at no extra charge by emailing KMsupport@lexisnexis.com or calling us toll-free 866.650.3600.

Once you are logged in to your personal account, the document cart tool will be activated. To add insider filings to your document cart, you must first open the full text of the filing that you would like to add to your document cart. Once the filing has fully loaded, click Add to Document Cart (located in the gray bar above the document). When you have clicked Add to Document Cart a checkbox will appear (to the right of "Add to Document Cart") to let you know the document is now in your cart.

Your document cart is accessible from the gray banner at the top of Knowledge Mosaic at any time and allows you to print, email, and add notes to your documents at any time. There is a 100 document maximum number of documents you can hold in your cart at a time. To access help instructions for the document cart, click here.

 



[Return to All Help Table of Contents]



Investigations

 

Overview

Searching Investigations

    Text Search  

    Investigating Entity

    Investigation Stage

    Reported Status

    Date Disclosed and Notice Date

    Target

    Target's Position

Submitting a Search

Viewing Search Results

Creating a Printable Report

Creating an Excel Report

Emailing Report Results

Viewing the SEC Filing


 

Overview   [top]

 

Contents:  Filer disclosure concerning Preliminary Investigations, Formal Investigations, and Wells Notices from the SEC and investigations by other agencies and entities.

Source SEC EDGAR Filings

Updated Daily

 

Database of EDGAR filings containing disclosure concerning Preliminary Investigations, Formal Investigations, and Wells Notices from the SEC and investigations by other agencies and entities. Records of Form 8-K filings extend back to 1994; records of Form 10-Q, Form 10-QSB, and Form 6-K filings extend back to November 2007. Search by target name, target�s position (for individuals), report or notice date, investigating entity, reported investigation status, and investigation stage. Note: This is not a complete database of investigations, but rather a database of filers who have disclosed SEC investigations and Wells Notices.

 


 

Searching Investigations   [top]

 

Search by one of the following search variables or a combination of variables. To remove your search terms and start over, click the Reset button under the search boxes. Once you have entered the desired search variables, click Search.

 

Text Search   [top]

 

To search the filings excerpts related to Investigations by keyword or words in the text, type them into the Text Search box. For detailed information on using the advanced text searching features, such as Boolean and proximity searching, click the Advanced Search Help hyperlink located underneath the Text Search box. 

 

       

Investigating Entity   [top]

 

To search for Investigations conducted by a particular entity or agency, use the Investigating Entity field. Use the Ctrl key to select multiple entities at one time.

  

Investigation Stage   [top]

 

To limit your search to disclosures of Preliminary Investigations, Formal Investigations, or Wells Notices, use the Investigation Stage field. To select more than one stage, use the Ctrl key.

 

Reported Status   [top]

 

Use the Reported Status search field to limit your search to Investigations that are Ongoing, Settled, or Terminated. To select more than one type of Reported Status, use the Ctrl key.

 

Date Disclosed and Notice Date   [top]

 

There are two date options to select from: Date Disclosed and Notice Date. First select the date option (Date Disclosed or Notice Date) you would like to search by clicking the radio button located to the left of each option. If you do not select a radio button, the search will default to the date disclosed. Next, use the time frame or date range boxes to specify a date or a range of dates. You may search by the general time period using the Time Frame drop-down menu (this is the default release date search method) or enter dates in the Date Range search boxes. To use the Date Range search boxes, you must first click the radio button next to Date Range and then enter dates in both search boxes. Enter dates in the format m/d/yyyy. If you click the radio button next to the Date Range but do not change the dates, the start date will be March 23, 1994 for Date Disclosed searches and April 10, 1997 for Notice Date searches, and the end date for all searches will be today's date. 

 

Target   [top]

 

Use the Target field to search for a company or individual targeted in an investigation. You can search for the name of the individual or the name of the company.  Suggested matches will appear as you type; these are generated when the characters you enter match the initial letters or numbers of a company's name or an individual's name. So, if you don't know the complete name of a company, enter the part you do know. For example, if you type in PROD, you'll get matches for El Paso Exploration & Production Co., Avon Products, Inc., etc. You can then review your suggested matches and make your selection from the list.

 

Target's Position   [top]

 

To search for investigations by the position of an individual target, such as Chairman or Chief Executive Officer, use the Target's Position scroll-down menu. Use the Ctrl key to select multiple positions at one time. 

 


 

Submitting a Search   [top]

 

Once you have selected or entered the appropriate search variables, click Search.

 

To start a different search, replace existing search variables or click the Reset button to return all search boxes to their default positions.

 


 

Viewing Search Results   [top]

 

Once you've clicked Search, search results appear below the search area with the most recent records listed first.  The number of records returned will be displayed at the top of the results list. Use the records per page drop-down   to change the number of results displayed on one page.  You can view 25, 50, 100, or 500 of your results on one page. You do not need to click Search again to change the number of results per page. 

 

 


 

Sorting Search Results   [top]

 

To change the default display to oldest first, newest notice date first, oldest notice date first, company name A-Z, or company name Z-A, use the Sort by drop-down menu located just above the first result display. Selecting another sorting option will refresh the page with results displaying in the order you selected.

 


 

Creating a Printable Report   [top]

 

Once you've clicked Search and have a result set, you can extract the result list into a printable report. Located below the records per page drop-down is a Printable Report link. By clicking this link, the printable report will extract the items displayed on the current page into an HTML document. To include more items in your printable report, increase the number of records per page that are displayed before you create your report.

 

Once you have created your report, you may convert it to a PDF or print it as is by clicking the PDF or Print links in the upper right-hand corner of the page. To return to the search page and the list of results, click Back.

 

 


 

Creating an Excel Report   [top]

 

Once you've clicked Search and have returned search results, you have the option to generate an Excel report of your search results. Excel Reports include your entire list of search results (up to 2,000 records) and provide a variety of ways by which to sort and display results.

 

To create an Excel report, click Excel Report, located just above the search results on the right; this will download your search results to your computer and prompt you to open the file in MS Excel.

 

If nothing happens when you click Excel Report, then it is possible your internet browser is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report or contact us at KMsupport@lexisnexis.com, 866.650.3600.

 


 

Emailing Report Results   [top]

 

Once you've clicked Search and have a result set, use the Printable report function to email a report of the results. Click the Printable Report link. A new window will appear. At the top of this window in the gold navigation bar you will see the text Email and to the right of the hyperlink for Print. This will open a new window. Type in your name and email, then in the Recipient text box enter the email address to which you'd like to send the document; to enter multiple email addresses, separate each with a comma. The name, email, and recipient email fields are required, but it is important to note this information will be used only to provide a Reply-To address and name for the recipient. Use the blank "message box" to include any specific details for the recipient. Once you have completed the form click Email this Document. The result set will be emailed to the addresses you have entered and the web page will refresh with a confirmation screen stating "The email has been sent." Clicking the Close link on this page will take you back to the report. The report will be sent in PDF format.

 


 

Viewing the SEC Filing   [top]

 

To view the full text of the filing in which the investigation disclosure appears, click the hyperlinked View SEC Filing text found within each investigation record. This will open the full text of the filing in a new window.



[Return to All Help Table of Contents]



Investment Adviser Search

 

Overview

Searching Investment Adviser Filings

    Investment Adviser Firm

    SEC Registration Status

    Principal Place of Business

    Total Assets Under Management

    ADV Form Version

    Form ADV Date Filed

    Part 2 Brochure

    ADV-E Surprise Examinations

Viewing Search Results

    Sort by

    Opening Results

Do More with This Search

    Printable Report

    Email Documents

    Add Documents to Cart

 


 

Overview   [top]

 

Contents: Current copies of Investment Adviser Public Disclosure (IAPD) Form ADV filings.

Source: Investment Adviser Registration Depository (IARD)

Updated: Daily

 

The Investment Adviser Search page includes the Investment Adviser Public Disclosure (IAPD) Form ADV filings made by current and certain former Investment Advisers registered with the SEC (including Exempt Reporting Advisers). It does not include disclosure from firms that are only state-registered. For each investment adviser, we provide the most recent version of the firm's Form ADV, available Part 2 brochures, and ADV-E Surprise Examination Reports.
 

Use the Investment Adviser Search to locate the current Form ADV filing for an Investment Adviser, or use the search page to collocate data and create reports about Investment Advisers across different variables. Search by firm name, CRD or SEC number, SEC registration status, principal place of business, total assets under management, ADV form version, and date filed. Search can also be limited to firms that have filed Part 2 brochures and/or ADV-E reports.

 


 

Searching Investment Adviser Filings   [top]

 

Search by one or more of the following parameters:

 

Investment Adviser Firm   [top]

 

Our Investment Adviser Search page allows you to search for one or more investment advisers by firm name, Central Registration Depository or "CRD" number, and SEC number. A CRD number is a unique number assigned to a firm as part of the financial services industry registration process. An SEC number is a unique identification number assigned to a firm by the Securities and Exchange Commission.

 

Start typing any one of these pieces of information to see suggested matches appear. The firm name text box is not case-sensitive. If you do not know the complete name of a firm (e.g., Inc., LLC, Corp., etc.), enter the part you know. Use your mouse or the up/down arrow keys and the enter key to select a firm from the list of suggested matches. (To search for one or more specific firms, you must make a selection from the suggested matches.) You may then repeat the process to select additional firms.

 

SEC Registration Status   [top]

 

Use the SEC Registration Status dropdown to search for investment adviser firms by their current registration status with the SEC. You may also use this dropdown to limit your search to "exempt reporting advisers." Exempt reporting advisers are investment advisers relying on the exemption from registration under section 203(l) or 203(m) of the Investment Advisers Act. These exempt reporting advisers are not required to be registered with the SEC, but must still complete the following Items of Part 1A: 1, 2, 3, 6, 7, 10, and 11, as well as corresponding schedules. Exempt reporting advisers do not file Part 2 brochures.

 

Principal Place of Business   [top]

 

Use the Principal Place of Business field to limit your results to firms located in a certain area. Selecting the radio button next to "U.S." or "Non U.S." will return only firms based in the United States, or only firms based in countries besides the United States, respectively. You can also further narrow your search to a specific state (for U.S. firms) or a specific country (for Non U.S. firms) by making a selection in the dropdown to the right of those radio buttons. If you do not make a selection here, you will return firms based anywhere in the world.

 

Total Assets Under Management   [top]

 

You may also narrow your results by the total amount of assets that a firm manages. In the Total Assets Under Management field, enter a minimum amount in the left-hand box and a maximum amount in the right-hand box (or leave either box empty for an open-ended range). Any format is acceptable: with or without commas, whole dollar amounts, or even amount "abbreviations" - for instance, you can use K for thousands, M for millions, B for billions, and T for trillions (e.g., 250m for 250 million or 1.5b for 1.5 billion). 

 

ADV Form Version   [top]

 

If you are looking only for firms whose most recent registration was a particular version of Form ADV, you may use the ADV Form Version field. Making a selection here limits your results, since no results will be returned for firms whose most recent ADV was a version other than the one you selected.

Note: At this time, we do not offer the ability to see previously filed versions of a firm's Form ADV.

 

Form ADV Date Filed   [top]

 

Use this field to find the current version of a firm's Form ADV that was filed during a given time frame or date range.

Note: Limiting to an earlier date range will not bring up previously filed versions of a firm's Form ADV. It will only return firms for which the most current Form ADV available is one that was filed during that date range.

 

Part 2 Brochure   [top]

 

Part 2 of Form ADV discloses information about an investment adviser's business practices, fees, and conflicts of interest. Checking the Part 2 Brochure checkbox allows you to limit your result to only firms for which one or more Part 2 brochures have been filed as part of the firm's most recent Form ADV.

 

ADV-E Surprise Examinations   [top]

 

Checking the ADV-E Surprise Examinations checkbox allows you to limit your result to only firms for which one or more ADV-E reports have been filed.

 


 

Viewing Search Results   [top]

 

Once you've clicked Search, your results appear below the search area. At the top of the results, the number of results will be displayed, as well as tools for using your results. Use the records per page drop-down to change the number of results displayed on one page.  You can view 25, 50, 100, or 500 of your results on one page.

 

Search results include firm name, CRD and SEC number, registration status and effective date, total assets under management, principal office information, and links to the Form ADV, as well as links to any available Part 2 brochures or ADV-E reports.

 

Sort by   [top]

 

When you do a search on the Investment Adviser Search page, your results are initially presented with firms who have the most recently filed Form ADV at the top of the list. You may change the order in which your results are presented by using the Sort by dropdown in the upper right area of the results. In addition to Form ADV Date, results may be ordered by firm name (alphabetically and reverse alphabetically), and by total assets under management (low to high and high to low).

Opening Results   [top]

To view a firm's Form ADV filing, Part 2 brochure, or ADV-E report, click the hyperlinked document title(s) found within each result. The Form ADV will open in HTML format and Part 2 Brochures and ADV-E reports in PDF. All documents will open in a new tab or window (depending on your browser).


 

Do More with Your Search   [top]

 

Printable Report   [top]

 

Once you've clicked Search and have returned search results, you have the option to generate an HTML report of your search results. HTML reports are generated in PDF when emailed.

 

The Printable Report button, located just above the search results on the right, generates a report for the records on the page you are currently viewing. To increase the number of results listed in your report, you need to click on the records/page drop-down menu and increase the number of records; this will cause the page to refresh with the number of records per page you have selected.

 

Once the page refreshes with the number of records per page you have selected, click Printable Report. An HTML report will load the items displayed on the current page into an HTML report. From the HTML report you have the option to print or email in PDF.

 

TIP: The greater number of records you have selected for your report, the longer the report will take to load. To load results more quickly, create your report for a smaller number of records per page.

 

To return to the original list of results from the Printable Report, click the Close link.

 

Email Documents   [top]


Once you have a results list, you can email HTML links of one or more documents to anyone (a Knowledge Mosaic license is not required to open these links).

To batch email links to yourself, a client, or a colleague, check the checkboxes located to the left of each search result, and then click the Email Checked button located just above the search results; this will open a new browser window. In the window that appears, enter your information and separate multiple email addresses with commas. Links to the documents you selected will be emailed to the address(es) you have entered.

Add Documents to Cart
   [top]

The document cart (available with a personal username and password) allows you to select documents from throughout the website and add them to your cart. The cart allows you to email, batch print, or save your selection of documents. To create a Personal Account at any time email accounts@knowledgemosaic.com, call us toll-free 866.650.3600, or create one here. Your document cart is accessible from the orange navigation bar at the top of Knowledge Mosaic.
For more help on the document cart, click here.



[Return to All Help Table of Contents]



Law Firm Memos Help

 

Overview

Searching Law Firm Memos

    Firm

    Practice Area

    Text Search

    Time Frame and Date Range

Viewing Law Firm Memos 

Creating a Printable Results Report

Sorting Law Firm Memos 

Save as Alert

 


 

Overview   [top]

 

Contents: Legal memos, alerts, and bulletins

Source:  About 200 law firms from the US and Canada

Updated: Daily

 

The Law Firm Memos page contains memos from leading law firms, offering guidance and commentary on a variety of topics.  These memos are searchable by firm, practice area, text string, and date. 

 

Please note that inclusion of a firm's memos on our site does not express or imply Knowledge Mosaic's endorsement of that firm, nor an endorsement of Knowledge Mosaic by the firm in question. The Law Firm Memos on Knowledge Mosaic do not constitute legal advice. 

 


 

Searching Law Firm Memos   [top]

 

Enter search variables. If you change your mind while entering search variables and want to return all search boxes to their default states, click the Reset button below the search boxes. Once you've entered the appropriate search variables, click Search. The search boxes will remain on the screen, and search results will appear below. 

 

Firm   [top]

 

In the Firm scroll-down menu click the name(s) of the law firm you would like to view memos for. To select more than one firm for a search, hold down the Ctrl key while clicking additional firms.

 

Practice Area   [top]

 

In the Practice Areas scroll-down menu click the practice area(s) you would like to search. To select more than one practice area for a search, hold down the Ctrl key while clicking additional practice areas.

 

Text Search   [top]

 

Use Text Search to locate memos containing a word or phrase in the memo title or summary. This search box is not case-sensitive. 

 

Using our brand new text search technology called Qmax™, we return documents that contain all words in your query and display the strongest matches on top. Our engine supports full Boolean advanced text search, but your input of these operators is completely optional. Initially boosted by relevance, results can also be viewed based on alternate sorting options.

 

For additional information and examples on entering a text search, click Learn More link located underneath the Text Search box. This document describes relevance boosting and the Boolean, nested, proximity, and wildcard search operators that can be used in the text search box. 

TIP: Use quotation marks around a search string to limit your results to items that contain an exact match. Example: "golden parachute"

 

Time Frame and Date Range   [top]

 

Time Frame is a flexible variable with options such as Last 12 Months or Last 2 Years. You can only make one selection from the drop-down menu in the Time Frame search box. 

 

In the Date Range search boxes, you can enter a very specific date range for your search, such as 02/01/2003 - 04/15/2003. Enter dates in Date Range in the format mm/dd/yyyy. If you don't make selections or entries in either of these boxes, your search will yield results for all dates. 

 

TIP: You may enter either a Time Frame or a Date Range, but NOT both. 

 


 

Viewing Law Firm Memos   [top]

 

Search results are listed below the search boxes by Firm, Practice Area, Text, and Date. To view a memo, click its title in the center column of the record.  A new browser window will open and display the memo on the website of the firm who published the memo.

 

Use the records per page dropdown   to change the number of results displayed on one page. You can view 25, 50, 100, or 500 of your results on one page.  You do not need to click Search again to change the number of results per page.

 


 

Creating a Printable Results Report   [top]

 

Once you've clicked Search and have a result set, you can extract the result list into a printable report. Located in the gold bar above the results is a Printable Report link. By clicking this link, the printable report will extract the items displayed on the current page into an HTML document. To include more items in your printable report, increase the number of records per page that are displayed before you create your report.

 

Once you have created your report, you may convert it to a PDF or print it as is by clicking the PDF or Print links in the upper right-hand corner of the page. To return to the search page and the list of results, click Close.

 


 

Sorting Results   [top] 

 

Results that are returned for a text search are, by default, displayed by Relevance, with the most relevant documents first. Ranking factors include, but are not limited to, whether a text search term is found in the title or the body of the document, the frequency of which a text search term appears in the document weighted against the commonality of the term, the number of text search terms found in the document compared with the total number of text search terms entered, the proximity of search terms to one another, and date of the document. The popularity of a given document is not a factor in determining the relevance rankings.

 

Results that are returned as a result of queries that do not include text are displayed by date, with newest first. You can change the sort order of your results by using the Sort by dropdown. You can choose to sort by Newest First, Oldest First, Title A-Z, Title Z-A, Firm A-Z, and Firm Z-A.

 

Save as Alert   [top]  

 

You can now set up an alert on the Law Firm Memos page to be notified of almost any new documents that are added. To create a new alert on this page, simply run a search using your desired parameters, and click Save as Alert in the gold bar above the results. You will then be asked to name your alert and set your delivery options.

 

Once you save your alert, you should receive a confirmation email within a few minutes. The confirmation email that you receive helps ensure that alert emails properly reach your inbox. This email may ask you to click a link to confirm receipt and validate your email address. It is very important that you do so, or you may not receive alerts.

 

For more about creating or editing alerts across the Knowledge Mosaic platform, check out our Alerts Help.



[Return to All Help Table of Contents]



Law Firm Relationships

 

Overview

Searching Law Firm Relationships

          Law Firm

          Filer Name

          City

          State

SIC

Date

          Form Type
Submitting a Search

Viewing Search Results

        Viewing Relationships by Law Firm

        Viewing Relationships by Filer

        View All Filings

        Display by Filing

Sorting Search Results

Creating a Printable Results Report

Creating an Excel Report

 


 

Overview   [top]

 

Contents: Law firm and client relationships as extracted from SEC EDGAR filings.

Source: SEC EDGAR Filings

Updated: Daily

 

The Law Firm Relationships search page helps you identify law firms that have represented public companies as disclosed in EDGAR filings. Search by more than 1000 law firms, company filer name, city or state, and also by filer SIC code. You can also filter by form type and filing date.

 


 

Searching Law Firm Relationships   [top]

 

To begin searching, enter search variables. If you change your mind while entering search variables and want to return all search boxes to their default states, click the Reset button below. When you have entered the appropriate search variables for your search, click Search.

 

Law Firm   [top]

 

In the Law Firm scroll-down menu click the name(s) of the law firm you would like to view relationships for. To select more than one law firm for a search, hold down the Ctrl key while clicking additional firms.

 

Filer Name   [top] 

 

If you are looking for law firm relationships by filer, type the name of the company into the Name text box. This text box is not case-sensitive. If you do not know the complete name of a company (e.g., Inc, & Co., Limited, Global, etc.), enter the part you know. Your search will return all results whose company names include that word or words. 

 

City   [top]  

 

If you know the city in which the filing company is located, enter it in the City text box. If you do not enter a city, your search will yield results for any city.

 

State   [top]  

 

If you know the state in which the filing company is located, select the state in the State drop-down menu. If you do not make a selection your search will yield results for any state.

 

SIC   [top]  

 

If you are looking for a law firm relationship by filer industry, type the Standard Industrial Classification (SIC) into the SIC text box. Use the "~" tilde key to enter a SIC range such as 6211~6289.

 

If you need to determine the SIC code for a type of business, click the hyperlinked Locate SIC Codes located to the right of the SIC text box. An SIC Index will appear in a separate window.

 

Date   [top]

 

To search by the date a form was filed, you may search by general time period using the Time Frame drop-down menu (this is the default date search method), or enter dates in the Date Range search boxes. To use the Date Range search boxes, you must first click the bubble next to Date Range and then enter dates in both search boxes. Enter dates in the format m/d/yyyy. 

 

If you click the bubble next to Date Range but do not change the dates, the start date will be 1/18/1994, and the end date will be today's date. 

 

Form Type   [top]  

 

If you are searching for a relationship disclosed in a particular type of filing, you can select the form type you would like to search for in the Form Type drop-down menu. If you do not make a selection your search will yield results for any form type.

 


 

Submitting a Search   [top]

 

When you have entered the appropriate search variables for your search, click Search. The search variables you entered will remain on the screen and the search results will appear below. 

 

To start a new search, enter new search variables where necessary or click the Reset button to return all search boxes to their original settings. When you have entered the appropriate search variables, click Search

 


 

Viewing Search Results   [top]

 

Default search results are listed by Law Firm Name, Filer Name, Filer City, Filer State, Filer SIC, and Filing Date Range. Results will automatically display in reverse chronological order by the most recent filing date (in a range). The results will, by default, display all the filings for a given law firm relationship in one record. To view each filing as a single record in the results, click the radio button next to Display by Filing.

 

Use the records per page drop-down   to change the number of records displayed on one page. You can view 25, 50, 100, or 500 of your results on one page. You do not need to click Search again to change the number of results per page.

 

Viewing Relationships by Law Firm   [top]

 

Once you have entered a search and returned search results you have the option to view all results for a particular law firm. Click the hyperlinked law firm name to execute a new search and view all relationships for that firm.

 

Viewing Relationships by Filer   [top]

 

Once you have entered a search and returned search results you have the option to view all results for a particular filer. Click the hyperlinked company filer name to execute a new search and view all relationships for that company.

 

View All Filings   [top]

 

To view filings related to a particular relationship, click the hyperlinked View All Filings link located at the right of each record. This will take you to a page with a list of all the filings that disclose that particular relationship. Clicking on the hyperlinked form name/filing date will load the full text of the filing in a new window. When you are ready to return to the list of results, click Back in the upper right corner of the Filings Detail page. Note that the View All Filings link only appears when the Display by Filer radio button is selected.

 

Display by Filing   [top]

 

The search results will automatically display records grouped by law firm - filer relationship. Below the Search button you will see a selected radio button titled Display by Filer. To change the results to show a separate record for each individual filing select the Display by Filing radio button. Once the display has change, you can view the full text of the filing by clicking directly on the hyperlinked Form name.

 


 

Sorting Search Results   [top]

 

The list is automatically sorted by filing date with the most recent filings (in a date range) first.

 

To sort the list of results, click any of the hyperlinked column headers such as Law Firm, Filer Name, or Filing Date Range

 


 

Creating a Printable Results Report   [top]

 

Once you've clicked Search and have a result set, you can extract the result list into a printable report. Located below the records per page drop-down is a Printable Report link. By clicking this link, the printable report will extract the items displayed on the current page into a HTML document. To include more items in your printable report, increase the number of records per page that are displayed before creating your report.

 

Once you have opened your report, you may convert it to a PDF or print it as is by clicking the PDF or Print links in the upper right-hand corner of the page.


Creating an Excel Report   [top]

 

To create an Excel report, click Excel Report, located just above the search results; this will download the search results (up to 2,000 records) to your computer and prompt you to open the file in MS Excel.

 

If nothing happens when you click Excel Report, then it is possible your Internet browser (such as Internet Explorer or Firefox) is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report or contact us at KMsupport@lexisnexis.com, 866.650.3600.



[Return to All Help Table of Contents]



Laws, Rules & Agency Materials Search

 

Overview

Searching Laws Rules & Agency Materials
   
Text Search

    Time Frame & Date Range

    Checkboxes

    Drilling Down
    QuickFind

Key Securities Compilations

Viewing Search Results

    Sort by

    Hide Details/ Show Details

    Refining Your Query with Facets

    Opening Results

Do more with this search

    Save as Alert

    Share

    Excel Report

    Email Documents

    Add Documents to Cart

List of Datasets in Laws, Rules & Agency Materials

    List of Laws & Rules

    List of Agency Materials

 


 

Overview  [top] 

 

Contents: Complete U.S. Code, complete CFR, Federal Register, and documents from more than two dozen federal regulatory or oversight agencies.
For specific datasets, see: See List of Datasets in Laws, Rules & Agency Materials below. 

Sources:  Agency Materials: individual Agencies listed. Laws, Rules & Federal Register: See List of Laws & Rules datasets.

Updated: All datasets updates daily for except Code of Federal Regulations (e-CFR is updated by the Office of the Federal Register on a frequent basis, usually every two to three days). CFR content is from the electronic CFR (eCFR), an unofficial version of the CFR prepared by the National Archives and Records Administration's Office of the Federal Register and published by the Government Printing Office.

 

The Laws, Rules & Agency Materials search page allows for broad searching and browsing across federal laws and administrative rules, the Federal Register (since 1998), recent Congressional legislation, and materials from more than two dozen different federal agencies and oversight bodies. Employ text searching at any level of your search. Dynamic faceting shows you the number of results for each data source, helping you refine your search as you go, while hierarchical browsing allows you to drill down through a given source.

 


 

Searching Laws, Rules & Agency Materials  [top] 

 

Laws, Rules & Agency Materials offers the ability to refine your query as you go, with text search available at any level of your query. Either search broadly across multiple datasets using the Source checkboxes, or limit to just one dataset by clicking hyperlinked source name. When you arrive at a set of results, facets appear on the left-hand sidebar providing additional checkboxes and/or drill down opportunities for further refinement. Items that appear in the facet sidebar will reflect the values that apply to the documents in the results.


Hit the "Search" button at any point on the Laws, Rules, & Agency Materials page to return a set of results.

 

Text Search  [top]

 

Using our brand new text search technology called Qmax�, we return documents that contain all words in your query and display the strongest matches on top. Our engine supports full Boolean advanced text search, but your input of these operators is completely optional. Initially boosted by relevance, results can also be viewed based on alternate sorting options.

 

The text search box will be available at every level of your query on Laws, Rules & Agency Materials.  To limit your search to text within a specific set of materials, make selection(s) using the checkboxes.

 

If you have loaded a filing available in HTML you will see three buttons in the gray navigation bar at the top left of the screen: first, prev, next and last. These buttons will assist you in navigating the filing to locate your text search matches. These buttons count each match, so be sure to click next several times to make your way through the filing. Just to the right of these buttons you will see the hit count Hit 1. Each time you click next the hit number will increase (or decrease if you click prev). Once you have clicked through all of the text search matches the hit count will read Hit xx of xx and a small window will pop-up stating "The current hit is already the last hit" to inform that you have reached the end of your text search matches.

 

For additional information and examples on entering a text search, click Learn More link located underneath the Text Search box. This document describes relevance boosting and the Boolean, nested, proximity, and wildcard search operators that can be used in the text search box. 

TIP: Use quotation marks around a search string to limit your results to items that contain an exact match. Example: "certificate of account of client securities"

Time Frame & Date Range  [top] 

 

The Time Frame option offers several choices for limiting your search chronologically by date. Examples include: Today; Last 12 Months; and Last 2 Years.  You can only make one selection from the drop-down menu in the Time Frame search box. If you do not make a selection your search will default to search for all dates. To include materials that do not have a date (such as rules) in your search, select All Dates.

 

The Date Range option allows for a more customized date search. You can enter a very specific date range for your search, such as 02/01/2003 - 04/15/2003. Enter dates in the format mm/dd/yyyy or use the pop-up calendar. If you don't make selections or entries in either of these boxes, your search will yield results for all dates. To include materials that do not have a date (such as rules) in your search, select All Dates from the Time Frame dropdown.

 

Checkboxes  [top] 

 

Use the checkboxes on the main search home page, at any level of "drilling down" or in the facet sidebar to specify one or more sources you'd like to include in your search. Checkboxes to the left of individual results records can be used to select one or more documents for emailing or adding to the Document Cart.

 

Drilling Down  [top]

 

Click the hyperlinked sources on the main search home page or in the facet sidebar in order to limit to that particular source, while viewing the full set of materials available within the source. Clicking the hyperlink in this way will display available materials (or subcategories) and allow you to search or browse just within those. For example, drilling down into SEC on the Laws, Rules, and Agency Materials home page will display a list of the SEC datasets available, and allow you to search or browse within just the SEC datasets.

 

QuickFind  [top]

 

An alternative and potentially time-saving way to find what you need. Use the Laws & Rules dropdown to jump right to a specific set of laws or rules you are looking for, such as SEC Regulations.

 

If you already know the name of the specific agency dataset you are looking for (e.g. CFTC, No-Action Letters, SEC Forms), start typing it into Agency Materials QuickFind box, and then select it from the list of suggested matches to be taken to all the vailable documents for that dataset.

 


 

Key Securities Compilations  [top] 

 

The Key Securities Compilations box has moved - and expanded! It is now a full fledged page located to the right of the Laws, Rules, and Agency Materials page under the Laws, Rules, Agencies tab. It still provides complete and up-to-date PDFs of even more Acts, Regulations, and Rules of note. To save or print a copy of the Securities Act of 1934, for example, just click the corresponding link and save or print.

 


 

Viewing Search Results  [top] 

 

Sort by  [top]

 

Results that are returned for a text search are automatically displayed by Relevance, with the most relevant documents first. Ranking factors include, but are not limited to, whether a text search term is found in the title or the body of the document, the frequency of which a text search term appears in the document weighted against the commonality of the term, the number of text search terms found in the document compared with the total number of text search terms entered, the proximity of search terms to one another, and date of the document. Please note that popularity of a given document is not a factor in determining the relevance rankings.

 

Results that are returned as a result of "drilling down" through a hierarchical dataset (for instance: U.S. Code > Title 1 > Chapter 1) will return results in Numerical Order, i.e., with Sec. 1 appearing at the top of the list, followed by Sec. 2, Sec. 3, etc.

 

Using the Sort by dropdown, you can change the sort default to sort by: Newest First, Oldest First, Title A-Z, and Title Z-A.

Hide Details/ Show Details  [top]    

 

By default, information related to the result will appear under it in the list. This might include source or agency, title or dataset, release number, date, or key words highlighted in context. Use the Hide Details link to the right of the Sort by dropdown for a clean display of only links to the results, without related information.

 

Refining Your Query with Facets  [top]

 

Once you have returned a set of results (either by clicking the "Search" button at any point during your research, or by "drilling down" all the way through a hierarchical dataset), facets will appear on the left-hand side of the page. Facets allow you to further refine your list of results by source, date, category and text string. Facets can be used to expand a search as well as refine it.

 

Facet values in the sidebar are followed with numbers in parentheses, which indicate how many of the results are from that source. If a value (say, a particular dataset or time frame) is listed, but not checked, that means that you may not have included it in your initial search, but that documents matching your text string may be available. You can check these boxes at any time to view these potentially useful results. If a value is not listed, that means that no results matching that value were located with the query.

 

If a dataset under a source in the facet sidebar is hyperlinked, click that link to see additional materials or subcategories under that source (for example, if the source is SEC, subcategories under SEC might include No Action Letters, Press Releases, or Final Rules). You can then further limit results by any of these subcategories.

 

Opening Results  [top] 

 

To view the full text of a search result, click the hyperlinked title. The result will open in a new window or tab (depending on the configuration of your browser) so just close or minimize the window in order to return to the results page. Once you have opened a document from your list of results, you can use the Prev and Next links in the rust-colored title bar to navigate through the rest of your results, in the order that they appear in the results list.

 


 

Do more with this search  [top] 

 

Save as Alert  [top] 

 

Currently, you can set up an alert on the Laws, Rules, and Agency Materials to be notified of almost any new documents that are added to LRAM. (We currently are unable to alert on changes to the U.S. Code, CFR, SRO Rules, and PCAOB  Rules & Standards, but hope to in the near future). To create a new alert on this page, simply run a search using your desired parameters, and click Save as Alert in the gold tool bar above the results. You will then be asked to name your alert, and set your delivery options.

 

Once you save your alert, you should receive a confirmation email within a few minutes. The confirmation email that you receive helps ensure that alert emails properly reach your inbox. This email may ask you to click a link to confirm receipt and validate your email address. It is very important that you do so, or you may not receive alerts.

 

For more about creating or editing alerts across the Knowledge Mosaic platform, check out our Alerts Help.

 

Share  [top] 

 

Once you have returned search results, you may share that search (and the results) with a colleague. Simply click the Share link in the gold tool bar above the results. This will open a new browser window. In the window that appears, enter your information and separate multiple email addresses with commas. A link and a description of your search will be sent to the recipients you've indicated; clicking on that link will open up the set of results you've chosen to share.

 

Note: Only other Knowledge Mosaic subscribers can view search results sent via the Share function.

 

Excel Report  [top] 

 

Once you have returned search results, you have the option to generate an Excel report of your search results. Excel Reports include your entire list of search results (up to 2,000 records) and provide a variety of ways by which to sort and display results.

 

To create an Excel report, click Excel Report, located in the gold tool bar above the results; this will download your search results to your computer and prompt you to open the file in MS Excel.

 

If nothing happens when you click Excel Report, then it is possible your internet browser is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report or contact us at KMsupport@lexisnexis.com, 866.650.3600.

 

Email Documents  [top]

 

Once you have a results list, you can email HTML links of one or more documents to anyone (a Knowledge Mosaic license is not required to open these links).

 

To batch email links to yourself, a client, or a colleague, use check the checkboxes located to the left of each search result, and then click the Email Checked button located just above the search results; this will open a new browser window.  In the window that appears, enter your information and separate multiple email addresses with commas. Links to the documents you selected will be emailed to the address(es) you have entered.

 

Add Documents to Cart  [top]

 

The document cart (available with a personal username and password) allows you to select documents from throughout the website and add them to your cart.  The Cart allows you to email, batch print, or save your selection of documents.  To create a Personal Account at any time email accounts@knowledgemosaic.com or call us toll-free 866.650.3600.  Your document cart is accessible from the orange navigation bar at the top of Knowledge Mosaic. There is a maximum of 25 documents that you can hold in your cart at a time. For more help on the document cart, click here.

 


 

List of Datasets in Laws, Rules & Agency Materials  [top] 

 

List of Laws & Rules  [top] 

 

U.S. Code

Source:  Library of Congress from the Office of the Law Revision Counsel of the U.S. House of Representatives

(Current Version)

 

Public Laws

Source: GPO Access and the Office of the Law Revision Counsel

(1995 - present)

 

Bills & Legislation

Source:  Thomas

(Current Congress only)

 

CFR

Source:  GPO Access eCFR

(Current Version; updated aprox. every 2 business days)
CFR content is from eCFR, an unofficial version of the CFR prepared by the National Archives and Records Administration's Office of the Federal Register and published by the Government Printing Office.

 

SRO Rules

Source:  FINRA, NYSE & NFA

Current Version

 

PCAOB Rules & Standards

Source:  PCAOB

Current Version

 

Federal Register

Source:  FederalRegister.gov

(1998 - present)

 

List of Agency Materials  [top] 

 

CBO   Congressional Budget Office

 

 

CBO Cost Estimates

(1997 - present)

CBO Data or Technical Information

(2007 - present)

CBO Presentations

(1980 - present)

CBO Reports

(1975 - present)

CBO Working and Technical Papers

(1976 - present)

 

 

CEQ   Council on Environmental Quality

 

 

CEQ Annual Environmental Quality Reports

(1970 - 1991)

CEQ Annual FOIA Reports

(2001 - present)

CEQ Chief FOIA Officer Reports

(2010 - present)

CEQ NEPA Reports to Congress

(2009 - present)

CEQ NEPA Litigation Surveys

(2001 - present) 

CEQ Number of EISs Filed by Federal Agencies

(1970 - 2009)

CEQ Press Releases

(2009 - present)

CEQ Publications

(1993 - present)

CEQ Reports on Cooperating Agency Status

(2005 - present)

 

 

CFPB   Consumer Financial Protection Bureau

 

 

CFPB Administrative Adjudication Notices

(2012 - present)

CFPB Administrative Adjudication Dockets

(2012 - present)

CFPB Blog Posts

(2011 - present)

CFPB Budget Documents

(2010 - present)

CFPB Congressional Correspondence

(2011 - present)

CFPB Guidance Documents

(2011 - present)

CFPB Op-Eds

(2010 - present)

CFPB Petitions to Modify or Set Aside

(2012 - present)

CFPB Press Releases

(2011 - present)

CFPB Reports

(2011 - present)

CFPB Speeches & Testimony

(2010 - present)

 

 

CFTC   Commodity Futures Trading Commission

 

 

CFTC Additional Reports

(1997 - present)

CFTC Annual Reports

(1996 - present)

CFTC Case Status Reports

(2009 - present)

CFTC Dispositions

(2007 - present)

CFTC Enforcement Actions

(1998 - present)

CFTC Enforcement Press Releases

(1995 - present)

CFTC Exemptive Letters

(1999 - present)

CFTC FOIA Reports

(1997 - present)

CFTC Futures Commission Merchants Financial Reports

(2002 - present)

CFTC General Press Releases

(1995 - present)

CFTC Government Reports

(2007 - present)

CFTC Interpretative Letters

(1997 - present)

CFTC Memoranda of Understanding

(1986 - present)

CFTC No-Action Letters

(1997 - present)

CFTC OIG Assessments of Management Challenges

(2004 - present)

CFTC OIG Audits of the Customer Protection Fund Financial Statements

(2011 - present)

CFTC OIG Dodd-Frank Reports

(2011 - present)

CFTC OIG Inspections

(2010 - present)

CFTC OIG Peer Review Reports

(2011 - present)

CFTC OIG Semiannual Reports to Congress

(2000 - present)

CFTC Opinions and Adjudicatory Orders

(1997 - present)

CFTC Other Written Communication Letters

(1996 - present)

CFTC Performance and Accountability Reports

(2004 - present)

CFTC President's Budget and Performance Plan

(2007 - present)

CFTC Public Comments

(2007 - present)

CFTC Reports

(2011 - present)

CFTC Rule Enforcement Reviews

(1998 - present)

CFTC Rules and Amendments Approved by the CFTC

(2003 - present)

CFTC Self-Certification Rule Submissions

(2003 - present)

CFTC Service Contract Inventory

(2010 - present)

CFTC Speeches

(1996 - present)

CFTC Strategic Plan

(2004 - present)

CFTC Strategic Sustainability Plan

(2010 - present)

CFTC Studies

(2011 - present)

CFTC Summary of Financial and Performance Information

(2010 - present)

CFTC Whistleblower Notices

(2012 - present)

 

 

Commerce   U.S. Department of Commerce

 

 

Commerce Annual FOIA Reports

(1998 - present)

Commerce Chief FOIA Officer's Reports

(2010 - present)

Commerce Congressional Testimony

(1997 - present)

Commerce Fact Sheets

(2009 - present)

Commerce Forms

(1967 - present)

Commerce Letters to the Congress

(1999 - present)

Commerce OIG Audits & Evaluations

(1997 - present)

Commerce OIG Correspondence

(2009 - present)

Commerce OIG Investigations

(2008 - present)

Commerce OIG Semiannual Reports to Congress

(1997 - present)

Commerce OIG Testimony

(1998 - present)

Commerce Opinion Editorials

(2009 - present)

Commerce Press Releases

(2009 - present)

Commerce Speeches

(2009 - present)

 

 

Copyright   U.S. Copyright Office

 

 

Copyright Announcements (Historical)

(1937 - 2003)

Copyright Annual FOIA Reports

(1998 - present)

Copyright Annual Reports

(1866 - present)

Copyright Business Processing Reengineering Updates

(2010 - present)

Copyright Chief FOIA Officer Reports

(2010 - present)

Copyright Circulars

(2006 - present)

Copyright FAQs

(2006 - present)

Copyright Factsheets

(2009 - present)

Copyright Forms

(2002 - present)

Copyright Law Revision Studies

(1960 - 1961)

Copyright NewsNet

(1997 - present)

Copyright Other Reports and Publications

(1978 - present)

Copyright Press Releases

(1993 - present)

Copyright Strategic Plans

(2002 - present)

Copyright Testimony

(1995 - present)

 

 

DHS   Department of Homeland Security

 

 

DHS Annual Population Estimates

(2001 - present)

DHS Budget Documents

(2002 - present)

DHS CIS Ombudsman's Annual Report to Congress

(2004 - present)

DHS Daily Open Source Infrastructure Reports

(2012 - present)

DHS Data Mining Reports

(2006 - present)

DHS FOIA Annual Reports

(2003 - present)

DHS Fact Sheets

(2011 - present)

DHS OIG Congressional Testimonies

(2003 - present)

DHS OIG Reports

(2002 - present)

DHS OIG Semiannual Reports to Congress

(2003 - present)

DHS Performance and Accountability Reports

(2002 - present)

DHS Presidential Directives

(2001 - 2011)

DHS Press Releases

(2009- present)

DHS Privacy Office Annual Reports

(2004 - present) 

DHS Section 803 Reports

(2007 - present)

DHS Speeches

(2009 - present)

DHS Statistics Annual Flow Reports

(2005 - present)

DHS Statistics Annual Reports

(1999 - present)

DHS Statistics Fact Sheets

(2005 - present)

DHS Statistics Working Papers and Special Project 

(2008 - present)

DHS Strategic Sustainability Performance Plan

(2010 - present)

DHS Testimony

(2009 - present)

DHS Yearbook of Immigration Statistics

(1998 - present)

 

 

DOD   Department of Defense

 

 

DOD Administrative Instructions

(1987 - present)

DOD Chief FOIA Officer's Reports

(2010 - present)

DOD Contract Announcements

(1994 - present)

DOD DA&M Memos on Executive Order 13392

(2006 - present)

DOD DA&M Memos on FOIA Improvement Plan

(2006 - present)

DOD Directive-Type Memorandums

(2001 - present)

DOD Directives

(1963 - present)

DOD FOIA Annual Reports

(1975 - present)

DOD FOIA Policy Guidance

(1991 - present)

DOD Forms

(1951 - present)

DOD IG Instructions

(1989 - present)

DOD Instructions

(1970 - present)

DOD News Releases

(1994 - present)

DOD News Transcripts

(1994 - present)

DOD Other Issuances

(1982 - present)

DOD Press Advisories

(1994 - present)

DOD Reports

(2003 - present)

DOD Speeches

(1995 - present)

 

 

DOE  Department of Energy

 

 

DOE Congressional Testimony

(2009 - present)

DOE Directives

(1992 - present)

DOE Ex Parte Communication

(2009 - present)

DOE Financial Assistance Letters

(1996 - present)

DOE FOIA Annual Reports

(1994 - present)

DOE General Counsel Enforcement Reports

(1995 - present)

DOE General Counsel Guidance and Opinions

 

DOE General Counsel News Releases

(2009 - present)

DOE HSS Compliance Orders

(1999 - present)

DOE HSS Consent Orders and Settlement Agreements

(1998 - present)

DOE HSS Enforcement Letters

(1995 - present)

DOE HSS Guidance

(1997 - present)

DOE HSS Notices of Violation

(1996 - present)

DOE HSS Regulatory Assistance Reviews

(1999 - present)

DOE HSS Special Report Orders

(2001 - present)

DOE Inspector General Audit and Inspection Reports

(1995 - present)

DOE Inspector General Financial Statements

(2005 - present)

DOE Inspector General Semiannual Reports to Congress

(1996 - present)

DOE Inspector General Testimony

(1996 - present)

DOE Media Advisories

(2009 - present)

DOE NEPA CEQ Guidance

(1976 - present)

DOE NEPA Compliance Guide - CEQ Regulations

 

DOE Press Releases

(2006 - present)

DOE Speeches

(2009 - present)

 

 

DOI  Department of the Interior

 

 

DOI Budget Justifications

(2008 - present)

DOI Editorials

(2009 - present)

DOI Environmental Statement Memoranda

(2010 - present)

DOI FOIA Annual Reports

(1996 - present)

DOI Media Advisories

(2009 - present)

DOI News Stories

(2009 - present)

DOI OIG Congressional Testimony

(2004 - present)

DOI OIG Reports

(1995 - present)

DOI OIG Semiannual Reports to Congress

(1996 - present)

DOI Press Releases

(2009 - present)

DOI Secretary's Speeches

(2009 - present)

DOI Solicitor's Opinions

(1993 - present)

 

DOI - BLM  Bureau of Land Management

 

 

BLM Categorical Exclusion Analysis Reports

(2005 - 2007)

BLM Congressional Testimony

(1999 - present)

BLM Forms

Current version

BLM Handbooks

Current version

BLM Information Bulletins

(1998 - present)

BLM Instruction Memoranda

(2005 - present)

BLM Manual Sections

Current version

BLM News Releases

(2004 - present)

BLM Rangeland Inventory Reports

(1989 - present)

 

 

DOI - BOEM  Bureau of Ocean Energy Management

 

BOEM Congressional Testimony

(2011 - present)

BOEM Environmental Studies

(1974 - present)

BOEM Fact Sheets

 

BOEM Guidelines to Lessees, Operators, and Applicants

(2009 - present)

BOEM Information to Lessees

(2005 - present)

BOEM Letters to Lessees and Operators

(1991 - present)

BOEM Notices to Lessees and Applicants for Renewable Energy and Alternate Use Projects

(2010 - present)

BOEM Notices to Lessees and Operators

(1998 - present)

BOEM OCS Operation Forms

 

BOEM Press Releases

(1986 - present)

BOEM Speeches

(2010 - present)

 

 

DOI - BOEMRE   Bureau of Ocean Energy Management, Regulation and Enforcement

 

BOEMRE Accident Investigations

(1983 - 2011)

BOEMRE Information to Lessees

(2005 - 2011)

BOEMRE Manual

Current version

BOEMRE MOU

 

BOEMRE Notices to Lessees

(1998 - 2011)

BOEMRE Notice to Lessees and Applicants for Renewable Energy Projects

(2010 - 2011)

BOEMRE Press Releases

(1986 - 2011)

BOEMRE Safety Alerts

(1972 - 2011)

BOEMRE Speeches

(1998 - 2011)

BOEMRE Studies

(2010 - 2011)

 

DOI - BR   Bureau of Reclamation

 

 

BR Congressional Testimony

(2004 - present)

BR Fact Sheets

(2011 - present)

BR News Releases

(2003 - present)

BR Speeches

(2003 - present)

 

 

DOI - BSEE

 

BSEE Congressional Testimony

(2011 - present)

BSEE District Investigation Reports

(2003 - present)

BSEE Fact Sheets

 

BSEE Information to Lessees

(2005 - present)

BSEE Letters to Lessees and Operators

(1991 - present)

BSEE Notices to Lessees and Applicants for Renewable Energy and Alternate Use Projects

(2010 - present)

BSEE Notices to Lessees and Operators

(1998 - present)

BSEE OCS Operation Forms

 

BSEE Panel Investigation Reports

(1985 - present)

BSEE Potential Incident of Noncompliance (PINC) Guidelines

(2008 - present)

BSEE Press Releases

(1986 - present)

BSEE Renewable Energy Research Reports

(2008 - present)

BSEE Safety Alerts

(1972 - present)

BSEE Speeches

(2010 - present)

BSEE Summary of Civil Penalties Paid

(2000 - present)

BSEE Technology Assessment and Research Project Reports

(1978 - present)

 

 

DOI - FWS   U.S. Fish and Wildlife Service

 

 

FWS Budget Proposals

(2010 - present)

FWS Congressional Testimony

(1999 - present)

FWS Director's Orders

(1994 - present)

FWS Eagle Conservation Guidance

(2011 - present)

FWS Forms

(1981 - present)

FWS Handbooks

(1973 - present)

FWS Law Enforcement Annual Reports

(1999 - 2008)

FWS Law Enforcement Public Bulletins

(2002 - present)

FWS Memorandums

(1985 - present)

FWS National Policy Issuances

(1985 - 2000)

FWS News Releases

(1991 - present)

FWS Wind Energy Guidelines

(2011 - present)

 

 

DOI - OSM   Office of Surface Mining Reclamation and Enforcement

 

OSM Annual Reports

(1978 - 2008)

OSM Directives

(1979 - present)

OSM FAQs

 

OSM FOIA Annual Reports

(2004 - 2006)

OSM Forms

Current version

OSM News Releases

(1982 - present)

 

 

DOJ  Department of Justice

 

 

DOJ Antitrust Case Filings

(1964 - present)

DOJ Antitrust Cooperation Agreements

(1976 - present)

DOJ Antitrust Division Reports

(2004 - present)

DOJ Antitrust Press Releases

(1992 - present)

DOJ Antitrust Speeches

(1985 - present)

DOJ Articles and Papers

(2008 - present)

DOJ Budget Fact Sheets

(2008 - present)

DOJ Business Review Letters

(1992 - present)

DOJ Comments To Federal Agencies

(1990 - present)

DOJ Comments To States And Other Organizations

(1992 - present)

DOJ Computer Crime and Intellectual Property Manuals

(2007 - present)

DOJ Computer Crime and Intellectual Property Press Releases

(2001 - present)

DOJ Computer Crime and Intellectual Property Reports

(2010 - present)

DOJ Congressional Communications

(2009 - present)

DOJ Congressional Testimony

(1994 - present)

DOJ Economic Analysis Group Competition Advocacy Papers

(2007 - present)

DOJ Economic Analysis Group Discussion Papers

(2006 - present)

DOJ EOIR Board of Immigration Appeals Practice Manual

 

DOJ EOIR Forms

(2008 - present)

DOJ EOIR Immigration Court Practice Manual

 

DOJ EOIR News & Information

(1997 - present) 

DOJ EOIR Reports and Updates

(1999 - present) 

DOJ FCPA Enforcement Actions

(1998 - present)

DOJ FCPA International Agreements

(1997 - present)

DOJ FCPA Opinion Procedure Releases

(1993 - present)

DOJ FCPA Review Procedure Releases

(1980 - 1992)

DOJ FOIA Litigation and Compliance Reports

(1998 - present) 

DOJ OECD Recommendations

(1995 - present)

DOJ OIG External Audit Reports

(1996 - present)

DOJ OIG Recovery Act Oversight Monthly Reports

(2009 - present)

DOJ OIG Recovery Act Oversight Plans

(2009 - present)

DOJ OIG Recovery Act Oversight Reports

(2009 - present)

DOJ OIG Recovery Act Work Plans

(2010 - present)

DOJ OIG Semiannual Reports to Congress

(1996 - present)

DOJ OIG Testimony

(2000 - present)

DOJ OIP Guidance

(2008 - present) 

DOJ Performance and Accountability Reports

(1999 - present)

 

 

DOL  Department of Labor

 

 

DOL Administrative Review Board Decisions

(1996 - present)

DOL Alien Crew Members Decisions

(2002 - present)

DOL Aliens as Registered Nurses Decisions

(1994 - present)

DOL Amicus Briefs Under ERISA

(2000 - present)

DOL Annual FOIA Reports

(1996 - present)

DOL Annual Chief FOIA Officer Reports

(2010 - present)

DOL Benefits Review Board Decisions

(1986 - present)

DOL Budget Reports

(2001 - present)

DOL Directives

(1978 - present)

DOL EBSA Advisory Opinions

(1992 - present)

DOL EBSA Fact Sheets

 

DOL EBSA Field Assistance Bulletins

(2002 - present)

DOL EBSA Funded Health and Pension Research DOL Papers

(2000 - present)

DOL EBSA Information Letters

(1986 - present)

DOL EBSA News Releases

(1995 - present)

DOL EBSA Public Comments on Rulemaking

(2003 - present)

DOL EBSA Speeches Remarks and Congressional Testimony

(2009 - present)

DOL EBSA Technical Releases

(1996 - present)

DOL ERISA Advisory Council Reports

(1996 - present)

DOL EXPRO Exemptions

(2005 - present)

DOL Employees Compensation Appeals Board Decisions

(1993 - present)

DOL En Banc Decisions of the Board of Alien Labor Certification Appeals

(1984 - present)

DOL Foreign Labor Certification Forms

 Current version

DOL Form 5500 Series

(1995 - present)

DOL Frequently Asked Questions

 

DOL Job Service Complaint System Appeals

(1979 - present)

DOL Job Service Complaint System Prevailing Wage Appeals

(2005 - present)

DOL Labor Condition Applications Decisions

(1993 - present)

DOL Miscellaneous Traditional Caselist

(1985 - present)

DOL OALJ Forms

(1999 - present)

DOL OIG Audit Reports

(1996 - present)

DOL OIG Congressional Testimony

(2002 - present)

DOL OIG Semiannual Reports to Congress

(1979 - present)

DOL OIG Top Management Challenges Reports

(1998 - present)

DOL Performance and Financial Reports

(2001 - present)

DOL Speeches

(2009 - present)

DOL TLN "Temporary Labor Certification" H-2B Workers Decisions

(2009 - present)

DOL Temporary Alien Employment Decisions

(1982 - present)

DOL Temporary Labor Certification Decisions

(1978 - present)

DOL Testimony

(2009 - present)

DOL WHD Fact Sheets

(2008 - present)

DOL WHD Field Assistance Bulletins

(2005 - present)

DOL WHD Field Operations Handbook

 

DOL WHD Fiscal Year Statistics

(2002 - 2008)

DOL WHD Forms

(1998 - present)

DOL WHD Frequently Asked Questions

 

 

 

DOL - OSHA  Occupational Safety & Health Administration

 

OSHA Congressional Testimonies 

(1993 - present)

OSHA Directives

(1978 - present)

OSHA Fact Sheets

 

OSHA Guidance Documents

(1988 - present)

OSHA Media Advisories

(2009 - present)

OSHA News Releases

(1995 - present)

OSHA QuickTakes 

(2002 - present)

OSHA Speeches 

(1994 - present)

OSHA Standard Interpretations

(1972 - present)

OSHA Standards 

(1995 - present)

OSHA Statements 

(2009 - present)

 

 

EPA  Environmental Protection Agency

 

 

EPA Action Plans

(2011 - present)

EPA Air Enforcement Policy & Guidance

(1974 - present)

EPA ALJ Decisions and Orders

(1974 - present)

EPA Annual National Program Manager Guidance 

(2009 - present)

EPA Annual Plans

(1998 - present)

EPA Audit Policy Update Newsletters

(1996 - 2001)

EPA Audit Protocols Allied Documents

(1997 - present)

EPA Auditing Publications

(1998 - 1999)

EPA Brownfields and Land Revitalization Cleanup Policies and Guidance

(1991 - present)

EPA Brownfields and Land Revitalization Publications

(2006 - present)

EPA Budget Summaries

(1979 - present)

EPA Chemical Policy & Guidance

(1980 - present)

EPA Civil Cases and Settlements

(1998 - present)

EPA Civil Enforcement Penalty Policies

(1984 - present)

EPA Core Performance Measures

(1997 - 1999)

EPA Criminal Enforcement Policy, Guidance and Publications

(1994 - present)

EPA Criminal Press Releases

(2007 - present)

EPA Decisions and Orders under FIFRA Section 6

(1974 - 2004)

EPA EAB Guidance Documents

(2006 - present)

EPA EAB Published Decisions

(1992 - present)

EPA EAB Unpublished Final Orders

(1997 - present)

EPA Enforcement Alert Newsletters

(1998 - 2009)

EPA Enforcement Response Policies

(1985 - present)

EPA Environmental Justice Accomplishment Reports

(2006 - 2006)

EPA Environmental Justice Action Plans

(2007 - 2009)

EPA Environmental Justice Fact Sheets

(2004 - present)

EPA Environmental Justice Policy & Guidance

(1994 - present)

EPA Environmental Justice Project Reports

(1992 - 2003)

EPA Federal Facilities Civil Enforcement Policies & Guidance

(1989 - present)

EPA Federal Facilities Cleanup Enforcement Policies & Guidance

(1996 - present)

EPA Federal Facilities Policies & Guidance

(1989 - present)

EPA FedFacs Newsletters

(1995 - 2005)

EPA FIFRA Manuals and Guidance

(1997 - 2004)

EPA Financial & Performance Reports

(1999 - present)

EPA FOIA Annual Reports

(1998 - present)

EPA FOIA Guidance

(2009 - present)

EPA FOIA Memoranda

(2006 - present)

EPA FOIA Special Reports

(2010 - present)

EPA Green Building Publications

(1998 - present)

EPA Lean Government Publications

(2008 - present)

EPA Lean Manufacturing and Environment Publications

(2000 - present)

EPA Local Government Advisory Committee Reports & Recommendations

(1994 - present)

EPA Measurement Tools & Guidance

(2002 - present)

EPA National Biennial RCRA Hazardous Waste Report: Documents and Data

(1991 - present)

EPA National Environmental Justice Advisory Council Advice & Recommendations

(1996 - present)

EPA NCEE Environmental Economics Reports

(1972 - present)

EPA NCEE Regulatory Economic Analyses

(1980 - present)

EPA NCEE Research Funding

(1991 - present)

EPA NCEE Working Papers

(2001 - present)

EPA NEPA Policies & Guidance

(1979 - present)

EPA News Releases

(1994 - present)

EPA OIG Congressional Testimony

(2002 - present)

EPA OIG New Audit & Evaluation Starts

(2012 - present)

EPA OIG Reports

(1996 - present)

EPA Performance Partnerships Policies and Guidance 

(1993 - present)

EPA Pollution Prevention at Federal Facilities

(1994 - 1995)

EPA Program Evaluation Guidelines

(2003 - present)

EPA Program Evaluation Reports

(1994 - present)

EPA Publications Related to Underground Storage Tanks

(1986 - present)

EPA RCRA Cleanup Policies and Guidance

(1984 - present)

EPA Relationship with States Policies & Guidance

(1993 - present)

EPA Small Community Advisory Committee Policy Advice and Recommendations

(1994 - present)

EPA Smart Growth Publications

(1998 - present)

EPA Speeches

(1995 - present)

EPA State NPDES Memoranda

(1973 - present)

EPA State Review Framework Reports and Recommendations

(2004 - present)

EPA Strategic Plans

(1995 - present)

EPA Superfund Enforcement Policies and Guidance

(1983 - present)

EPA Superfund Five-Year Reviews

(1991 - present)

EPA Superfund Publications

(2000 - present)

EPA Supplemental Environmental Projects Policy and Guidance

(1998 - present)

EPA Testimony Statements

(1997 - present)

EPA Waste Policy & Guidance

(1981 - present)

EPA Water Enforcement Bulletin

(1995 - 1999)

EPA Water Enforcement Policy & Guidance

(1984 - present)


 

 

FCA Farm Credit Administration

 

 

FCA Annual Reports on the Farm Credit System 

 (2003 - present)

FCA Board Approvals of FCS Corporate Applications

(2003 - present)

FCA Board Policy Statements

(2005 - present)

FCA Chief FOIA Officer Reports

(2009 - present)

FCA Examination Bulletins

(2005 - present)

FCA Examination Manual

(1994 - present)

FCA FAQs 

 

FCA Bookletters

(1990 - present)

FCA Newsline

(1999 - 2000)

FCA Farmland Collateral Risk Guidance

(2005 - present)

FCA FOIA Annual Reports

(2000 - present)

FCA Handbook Update Notices

(2006 - present)

FCA Informational Memorandums

(1996 - present)

FCA Legal Opinion Summaries

(1998 - present)

FCA Loan Portfolio Management Guidance

 

FCA Miscellaneous Historical Reports

(1996 - 2000)

FCA News Releases

(1996 - present)

FCA Number of FCS Banks and Associations

(2003 - present)

FCA OIG Audit Reports

(1998 - present)

FCA OIG Federal Information Security Management Act Reports

(2003 - present)

FCA OIG Financial Statement Audit Reports

(2002 - present)

FCA OIG Inspection Reports

(2000 - present)

FCA OIG Peer Reviews

(2007 - present)

FCA OIG Performance Measures/Reports

(2000 - present)

FCA OIG Semiannual Reports to Congress

(1989 - present)

FCA OIG Strategic and Operating Performance Plans

(2000 - present)

FCA OIG Surveys

(2002 - present)

FCA Performance and Accountability Reports

(1996 - present)

FCA Public Comments

(2000 - present)

FCA Publications about FCA

(2010 - present)

FCA Regulatory Performance Plan

(2012 - present)

FCA Rulemaking Fact Sheets

(2005 - present)

FCA Speeches and Statements

(2003 - present)

FCA Testimony

(2009 - present)

 

 

FCC Federal Communications Commission

 

 

FCC Annual Reports

(1935 - present)

FCC Forms

 

FCC Guides

(2010 - present)

FCC News Releases

(2000 - present)

FCC OIG Audit, Inspection, and Evaluation Reports

(1994 - present)

FCC OIG Letters, Correspondence, and Written Statements

(1999 - present)

FCC OIG Semi-Annual Reports

(1995 - present)

FCC Public Notices

(2000 - present)

FCC Speeches

(2000 - present)

FCC Texts

(2000 - present)

FCC Working Papers

(1980 - present)

 

 

FDA   Food and Drug Administration

 

 

FDA Consumer Updates

(2007 - present)

FDA Enforcement Reports

(2004 - present)

FDA Field Management Directives

(1981 - present)

FDA Guidance

(1975 - present)

FDA Notice of Initiation of Disqualification Proceedings/Opportunity to Explain

(1998 - present)

FDA Notice of Opportunity for Hearing

(1997 - present)

FDA Presiding Officer Reports and Commissioner's Decisions in Clinical Investigator Disqualifications Proceedings

(1979 - present)

FDA Speeches

(1988 - present)

FDA Testimony

(1996 - present)

FDA Warning Letters

(1996 - present)

 

 

FDIC   Federal Deposit Insurance Corporation

 

 

FDIC Advisory Opinions

(1979 - present)

FDIC Annual Reports

(1996 - present)

FDIC Banking Review

(1995 - present)

FDIC CFR Seminar Series Library

(1993 - present)

FDIC CFR Working Paper Series

(2004 - present)

FDIC Chief FOIA Officer Reports

(2010 - present)

FDIC Financial Institution Letters

(1995 - present)

FDIC FOIA Annual Reports

(1999 - present)

FDIC General Counsel Opinions

 

FDIC OIG Audit Reports

(1998 - present)

FDIC OIG Evaluation Reports

(1999 - present)

FDIC OIG Material Loss Reviews

(2009 - present)

FDIC OIG Press Releases

(2005 - present)

FDIC OIG Semiannual Reports to Congress

(1999 - present)

FDIC Press Releases

(1994 - present)

FDIC Special Alerts

(2003 - present)

FDIC Speeches & Testimony

(1995 - present)

FDIC State Profiles

(2011 - present)

FDIC Statements of Policy

 

FDIC Update on Emerging Issues in Banking

 (2002 - 2006)

 

 

FERC  Federal Energy Regulatory Commission

 

 

FERC ALJ Initial Decisions

(1976 - present)

FERC Accounting Guidance

(1993 - present)

FERC Accounting Releases

(1964 - present)

FERC Annual Performance Review

(1999 - 2003)

FERC Annual Reports

(1992 - present)

FERC Audited Financial Statements

(2002 - 2003)

FERC Budget Appropriations

(2003 - present)

FERC Budget Requests

(2003 - present)

FERC Chief FOIA Officer Reports

(2010 - present)

FERC Congressional Testimony

(2003 - present)

FERC FOIA Annual Reports

(1998 - present)

FERC Forms

 

FERC Memoranda of Understanding

(1966 - present)

FERC News Releases

(2001 - present)

FERC No-Action Letters

(2005 - present)

FERC Performance and Accountability Report

(2004 - present)

FERC Policy Statements

(1996 - present)

FERC Reports & Analyses

 

FERC Speeches

(2006 - present)

FERC Staff Reports

(1998 - present)

 

 

FFIEC  Federal Financial Institutions Examination Council
 
FFIEC Annual Reports (1998 - present)
FFIEC ASC Appraisal Foundation Correspondence (1996 - present)
FFIEC ASC Other Correspondence (1996 - present)
FFIEC ASC State Compliance Review Correspondence (1994 - present)
FFIEC Chief FOIA Officer Reports (2010 - present)
FFIEC Community Reinvestment Act National Aggregate Reports (1996 - present)
FFIEC E.16 Country Exposure Lending Survey and Country Exposure Information Report (1997 - present)
FFIEC Examiner Education White Papers (2001 - present)
FFIEC FOIA Annual Reports (2009 - present)
FFIEC List of Distressed or Underserved Nonmetropolitan Middle-Income Geographies (2005 - present)
FFIEC Private Mortgage Insurance Companies National Aggregate Reports (1999 - present)
FFIEC Report On Section 303(a)(3) of the Riegle Community Development and Regulatory Improvement Act of 1994  
FFIEC Reporting Forms (2006 - present)
 

 

 

FHFA  Federal Housing Finance Agency

 

 

FHFA Advisory Bulletins

(2009 - present)

FHFA Agency Guidance

(1976 - present)

FHFA Annual Reports to Congress

(2008 - present)

FHFA FHFB Advisory Bulletins

(2001 - 2008)

FHFA FHFB Annual Performance Budget

(2006 - 2007)

FHFA FHFB Annual Performance and Accountability Report

(2005 - 2007)

FHFA FHFB Approval Letters

(1999 - 2007)

FHFA FHFB Chairperson Orders

(1990 - 2008)

FHFA FHFB FOIA Reports

(1998 - 2008)

FHFA FHFB General Counsel Opinions

(1990 - 2005)

FHFA FHFB Managing Director Orders

(1989 - 2001)

FHFA FHFB No-Action Letters

(1998 - 2007)

FHFA FHFB Press Releases

(2001 - 2008)

FHFA FHFB Regulatory Interpretations

(1998 - 2007)

FHFA FHFB Resolutions

(1989 - 2008)

FHFA FHFB Speeches

(2004 - 2005)

FHFA FHFB Strategic Plans

(2009 - 2007)

FHFA FHFB Supervisory Actions

(2004 - 2008)

FHFA FHFB Testimony

(2001 - 2008)

FHFA FHFB Waivers

(2000 - 2000)

FHFA Final Opinions and Orders

(2008 - present)

FHFA FOIA Annual Reports

(2009 - present)

FHFA Legal Filings

(2004 - present)

FHFA Mortgage Market Notes

(2008 - present)

FHFA News Releases

(2008 - present)

FHFA Notices

(2009 - present)

FHFA OFHEO FOIA Reports

(1999 - 2008)

FHFA OFHEO Guidelines

(1998 - 2006)

FHFA OFHEO Mortgage Market Notes

(2007 - 2008)

FHFA OFHEO News Releases

(1997 - 2008)

FHFA OFHEO Orders

(2003 - 2007)

FHFA OFHEO Performance and Accountability Reports

(2005 - 2007)

FHFA OFHEO Policy Guidances

(2000 - 2008)

FHFA OFHEO Research Papers

(2001 - 2008)

FHFA OFHEO Speeches

(1997 - 2008)

FHFA OFHEO Staff Working Papers

(2002 - 2008)

FHFA OFHEO Statements

(2000 - 2008)

FHFA OFHEO Testimony

(1997 - 2008)

FHFA OIG Audits and Evaluations

(2011 - present)

FHFA OIG Press Releases

(2011 - present)

FHFA OIG Semiannual Reports to Congress

(2011 - present)

FHFA OIG Strategic Plans

(2012 - present)

FHFA OIG Testimony and Speeches

(2010 - present)

FHFA Performance Plans

(2008 - present)

FHFA Performance and Accountability Reports

(2008 - present)

FHFA Regulatory Interpretations

(2009 - present)

FHFA Regulatory Policy Guidance

(2011 - present)

FHFA Research Papers

(2009 - present)

FHFA Staff Working Papers

(2010 - present)

FHFA Statements

(2008 - present)

FHFA Strategic Plans

(2006 - present)

FHFA Testimonies and Speeches

(2008 - present)

  

 

FINRA  Financial Industry Regulatory Authority

 

 

FINRA Comment Letters

(2003 - present)

FINRA Comments on FINRA Notices

(2003 - present)

FINRA Election Notices

(2004 - present)

FINRA Exemptive Letters

(1996 - present)

FINRA Information Notices

(2007 - present)

FINRA Interpretations of Financial & Operational Rules

 

FINRA Interpretations of Incorporated NYSE Rules

 

FINRA Interpretive Letters

(1988 - present)

FINRA Monthly & Quarterly Disciplinary Actions

(2001 - present)

FINRA NAC Disciplinary Decisions

(1997 - present)

FINRA NAC Redacted Disciplinary Decisions

(1997 - present)

FINRA NAC Statutory Disqualification Decisions

(1997 - 2008)

FINRA NASD Member Alerts

(2001 - 2007)

FINRA NASD Notices to Members

(1996 - 2007)

FINRA OHO Disciplinary Decisions

(1998 - present)

FINRA OHO Disciplinary Orders

(1997 - present)

FINRA OHO Expedited Decisions

(1998 - 2007)

FINRA OHO Redacted Disciplinary Decisions

(1998 - present)

FINRA Regulatory Notices

(2007 - present)

FINRA Rule Filings

(1998 - present)

FINRA Trade Reporting Notices

(2008 - present)

 

 

FRB  Federal Reserve Board

 

 

FRB Annual Report Budget Review

(1986 - present)

FRB Annual Reports

(1995 - present)

FRB Beige Book

(2006 - present)

FRB Bulletin Reports

(1996 - present)

FRB Consumer Affairs Letters

(1997 - present)

FRB Enforcement Press Releases

(1997 - present)

FRB Federal Open Market Committee Minutes

(2007 - present)

FRB FOIA Annual Reports

(1997 - present)

FRB Frequently Asked Questions

(2004 - present)

FRB Legal Interpretations

(1996 - present)

FRB Monetary Policy Reports

(1998 - present)

FRB OIG Reports

(2003 - present)

FRB OIG Semiannual Reports to Congress

(2003 - present)

FRB OIG Strategic & Work Plans

(2011 - present)

FRB Other Reports to the Congress

(1996 - present)

FRB Performance Reports

(2001 - present)

FRB Press Releases

(1996 - present)

FRB Report on Credit and Liquidity Programs and the Balance Sheet

(2009 - present)

FRB Speeches

(1996 - present)

FRB Strategic Planning Documents

(1997 - present)

FRB Supervision Manuals

(2010 - present)

FRB Supervision and Regulation Letters

(1999 - present)

FRB Testimony

(1996 - present)

 

 

FTC  Federal Trade Commission

 

 

FTC Adjudicative Opinions of the Commission

(1996 - present)

FTC Advocacy Filings

(1985 - present)

FTC Amicus Briefs

(1998 - present)

FTC Annual Competition Enforcement Reports

(1977 - present)

FTC Annual FOIA Reports

(1998 - present)

FTC Annual Reports

(1916 - present)

FTC Closing Letters (Commission)

(2001 - present)

FTC Closing Letters (Staff)

(1999 - present)

FTC Commission Staff Reports

(1996 - present)

FTC Early Termination Notices

(1998 - present)

FTC Economic Reports

(1977 - present)

FTC FOIA Policy Statements

(1995 - present)

FTC HSR Formal Interpretations

 

FTC HSR Informal Interpretations

(1983 - present)

FTC International Agreements

(1976 - present)

FTC News Releases

(1995 - present)

FTC OIG Audit Reports

(1999 - present)

FTC OIG Semi-Annual Reports to Congress

(1996 - present)

FTC Petitions to Quash Responses

 (2000 - present)

FTC Premerger Introductory Guides

 

FTC Public Comments

(1996 - present)

FTC Public Statements & Letters

(2004 - present)

FTC Speeches

(1985 - present)

FTC Testimony

(1997 - present)

FTC Webb-Pomerene Act Filings

(2003 - present)

 

 

GAO  Government Accountability Office

 

 

GAO Antideficiency Act Reports

(2005 - present)

GAO Appropriations Decisions

(1968 - present)

GAO Bid Protest Decisions

(2001 - present)

GAO Contract Appeals Boards Decisions

(2004 - present)

GAO Other Decisions

(1951 - present)

GAO Reports on Federal Agency Major Rules

(1995 - present)

GAO Reports & Testimonies

(1935 - present)

 

 

HHS  Department of Health and Human Services

 

 

HHS AFDC Quality Control Decisions

(1991 - 1996)

HHS Administrative Manuals

(1986 - present)

HHS Civil Remedies ALJ Decisions

(1985 - present)

HHS DAB Decisions

(1974 - present)

HHS FOIA Annual Reports

(1998 - present)

HHS News Releases

(1955 - present)

HHS OIG Advisory Opinions

(1997 - present)

HHS OIG Budget Reports

(2008 - present)

HHS OIG Compendium of Unimplemented Recommendations

(2007 - present)

HHS OIG Corporate Integrity Agreement Documents

(2003 - present)

HHS OIG FOIA Reports

(2008 - present)

HHS OIG Health Care Fraud and Abuse Control Program Reports

(1999 - present)

HHS OIG Medicaid Integrity Reports

(2006 - present)

HHS OIG News Releases

(2003 - present)

HHS OIG Office of Audit Services Reports and Publications

(1995 - present)

HHS OIG Office of Evaluation and Inspections Reports

(1978 - present)

HHS OIG Open Letters

(1997 - present)

HHS OIG Other Guidance

(1992 - present)

HHS OIG Recovery-related Audit and Inspection Reports

(2009 - present)

HHS OIG Semiannual Reports to Congress

(1996 - present)

HHS OIG Special Advisory Bulletins

(1999 - present)

HHS OIG Special Fraud Alerts

(1994 - present)

HHS OIG Testimony & Speeches

(2002 - present)

HHS OIG Top Management & Performance Challenges

(2007 - present)

HHS OIG Work Plans

(1997 - present)

HHS Speeches

(1989 - present)

HHS Testimony

(1996 - present)

 

 

HHS - CMS   Centers for Medicare & Medicaid Services

 

 

CMS Clinical Laboratory Improvement Amendments Brochures

 

CMS Comprehensive Medicaid Integrity Plan

(2006 - present)

CMS FOIA Annual Reports

(2003 - present)

CMS Fact Sheets

(2003 - present)

CMS Forms

Current version

CMS Medicaid Integrity Program Reports to Congress

(2006 - present)

CMS Medicare Advantage & Prescription Drug Plan Decisions

(2007 - present)

CMS Office of the Attorney Advisor Decisions

(2006 - present)

CMS Paperwork Reduction Act Listings

(2005 - present)

CMS Policy & Memos to States and Regions

(2001 - present)

CMS Press Releases

(2002 - present)

CMS Program Memoranda

(2000 - present)

CMS Provider Reimbursement Review Board Decisions

(1997 - present)

CMS Rulings

(1995 - present)

CMS Speeches

(2010 - present)

CMS State Allocations for Section 1011 of the Medicare Modernization Act

(2005 - present)

CMS Testimonies

(2002 - present)

CMS Transmittals

(2004 - present)

 

 

HUD   U.S. Department of Housing and Urban Development

 

 

HUD FHEO Annual Report on Fair Housing

(2008 - present)

HUD Forms

(1969 - present)

HUD Legal Guidance and Opinions

(1991 - present)

HUD Mortgagee Letters

(1976 - present)

HUD OIG Audit Guides

 

HUD OIG Audit Plans

(2005 - present)

HUD OIG Consolidated Audit Guides

(2001 - present)

HUD OIG External Audit Reports

(2007 - present)

HUD OIG Financial Capacity and Risk Assessment Procedures

 

HUD OIG Inspection and Evaluation Reports

(2007 - present)

HUD OIG Inspections and Evaluation Annual Plans

(2008 - present)

HUD OIG Internal Audit Reports

(2006 - present)

HUD OIG Press Releases

(2011 - present)

HUD OIG Semiannual Reports to Congress

(2001 - present)

HUD OIG Testimonies

(1999 - present)

HUD Press Releases

(1996 - present)

HUD Speeches, Remarks, Statements

(1995 - present)

HUD Testimony

(1997 - present)

 

 

NCUA  National Credit Union Administration

 

 

NCUA Accounting Bulletins 

(1997 - present)

NCUA Accounting Manual

 

NCUA Administrative Orders

(1991 - present)

NCUA Annual Performance Budget

(2003 - present)

NCUA Annual Reports

(2007 - present)

NCUA Financial Performance Reports

(2004 - present)

NCUA FOIA Appeal Decision Letters

(1991 - present)

NCUA Interpretive Rulings and Policy Statements

(1979 - present)

NCUA Legal Opinion Letters

(1991 - present)

NCUA Letters of Understanding and Agreement 

(1999 - present)

NCUA Letters to Credit Unions

(1978 - present)

NCUA Letters to Federal Credit Unions

(2000 - present)

NCUA OIG Audit Reports

(1999 - present)

NCUA OIG Material Loss Reviews

(2008 - present)

NCUA OIG Performance and Strategic Plans

(2003 - present)

NCUA OIG Semiannual Reports and Letters to Congress

(1999 - present)

NCUA Press Releases

(2005 - present)

NCUA Regulatory Alerts

(1996 - present)

NCUA Speeches

(2008 - present)

NCUA Strategic Plans

(2003 - present)

NCUA Suspicious Activity Report Forms

(2000 - present)

NCUA Testimony

(1998 - present)

 

 

NFA  National Futures Association

 

 

NFA Annual Reviews

(1999 - present)

NFA Arbitration and Mediation Publications

(1998 - present)

NFA Arbitrator Update

(2005 - present)

NFA CFTC Rule Submissions

(1996 - present)

NFA Comment Letters

(1996 - present)

NFA Compliance Publications

(1998 - present)

NFA Enforcement and Registration Actions

(1996 - present)

NFA FAQs

 

NFA Investor Alerts

(2003 - present)

NFA Investor Information Publications

 

NFA Member Newsletters

(2000 - present)

NFA News Releases

(1999 - present)

NFA Notices to Members

(1996 - present)

NFA Petitions for Rulemaking

(2005 - present)

NFA SEC Rule Filings

(2008 - present)

NFA Speeches and Testimony

(1997 - present)

 

 

NLRB  National Labor Relations Board

 

 

NLRB ALJ Decisions

(2003 - present)

NLRB Advice Memos

(1969 - present)

NLRB Announcements

(2009 - present)

NLRB Annual Reports

(1936 - present)

NLRB Appellate Court Branch Briefs Motions

(1999 - present)

NLRB Board Decisions

(1911 - present)

NLRB Election Reports

(2000 - present)

NLRB FOIA Annual Reports

(2000 - present)

NLRB Federal Activities Inventory Reform Act Reports

(1999 - 2007)

NLRB Forms

Current version

NLRB General Counsel Memos

(1979 - present)

NLRB Government Performance and Results Act

(1997 - present)

NLRB Justifications of Performance Budgets Reports

 

NLRB News Releases

(1996 - present)

NLRB OIG Audit Reports

(1998 - present)

NLRB OIG Inspection Reports

(1999 - present)

NLRB OIG Semiannual Reports

(1999 - present)

NLRB Operations Management Memos

(1979 - present)

NLRB Performance & Accountability Reports

(2007 - present)

NLRB Regional Election Decisions

(1998 - present)

NLRB Summary of Operations Reports

(2002 - present)

NLRB Weekly Summaries of Decisions

(1996 - present)

 

 

NRC    Nuclear Regulatory Commission

 

 

NRC Administrative Letters

(1993 - 1999)

NRC Advisory Committee on Nuclear Waste and Materials Letter Reports

(1999 - 2008)

NRC Advisory Committee on Reactor Safeguards Letter Reports

(1999 - present)

NRC Annual Chief FOIA Officer Reports

(2010 - present)

NRC Atomic Safety and Licensing Board Panel Orders

(2011 - present)

NRC Brochures

(2000 - present)

NRC Brochures Prepared by NRC Staff

(1982 - present)

NRC Bulletins

(1971 - present)

NRC Circulars

(1976 - 1981)

NRC Commission Action Memoranda

(1996 - present)

NRC Commission Correspondence

(2001 - present)

NRC Commission Orders

(1999 - present)

NRC Commission Papers

(1996 - present)

NRC Commission Responses to GAO Reports

(2003 - present)

NRC Commission Speeches

(1997 - present)

NRC Conference Proceedings Prepared by NRC Staff or Contractors

(1981 - present)

NRC Congressional Testimony

(1998 - present)

NRC Fact Sheets

(2002 - present)

NRC FOIA Annual Reports

(1996 - present)

NRC For the Record

(2004 - present)

NRC Forms

(1998 - present)

NRC FSME Quarterly Newsletters

(1995 - present)

NRC Generic Letters

(1970 - present)

NRC Information Notices

(1979 - present)

NRC Inspection Manual - Change Notices

 

NRC Inspection Manual - Inspection Procedures

(1973 - present)

NRC Inspection Manual - Technical Guidance

(1977 - present)

NRC Inspection Manual - Temporary Instruction

(1980 - present)

NRC Inspection Manual Chapters

(1981 - present)

NRC Inspector General Fraud Bulletin/Information Digest

(1996 - 2009)

NRC Inspector General Reports

(1995 - present)

NRC Inspector General Semiannual Reports to Congress

(1996 - present)

NRC Interim Staff Guidance

(2007 - present)

NRC Licensee Event Reports

(1980 - present)

NRC Management Directives

(1982 - present)

NRC Memoranda of Understanding

(1984 - present)

NRC Monthly Reports to Congress

(1999 - 2005)

NRC Monthly Status Reports of Public Petitions Under Review

(1998 - present)

NRC News Releases

(1996 - present)

NRC Office of Enforcement Annual Reports

(1998 - present)

NRC Part 21 Reports

(1993 - present)

NRC Performance and Accountability Reports

(1999 - present)

NRC Preliminary Notification Reports

(2003 - present)

NRC Publications Available in the Agencywide Documents Access and Management System

(1980 - present)

NRC Publications Prepared by NRC Contractors

(1978 - present)

NRC Publications Prepared by NRC Staff

(1975 - present)

NRC Publications Resulting from International Agreements

(1986 - present)

NRC Quarterly Reports to Congress

(2006 - 2007)

NRC Regulatory Guides

(1970 - present)

NRC Regulatory Issue Summaries

(1999 - present)

NRC Security Advisories

(2001 - present)

NRC Security Orders

(2002 - present)

NRC Semiannual Reports to Congress

(2008 - present)

NRC Staff Requirements Memoranda

(1996 - present)

 

 

NYSE   New York Stock Exchange

 

 

NYSE Amex Rule Filings

(2008 - present)

NYSE Arca Regulatory Bulletins

(2000 - present)

NYSE Arca Rule Adoption Notices

(2000 - present)

NYSE Arca Rule Filings

(2006 - present)

NYSE Arca Trader Updates

(2006 - present)

NYSE Comment Letters to SEC

(2002 - 2003)

NYSE Disciplinary Decisions

(1972 - present)

NYSE Forms

 Current version

NYSE Historical Reference Material

(2002 - present)

NYSE Information Memos

(1987 - present)

NYSE Member Education Bulletins

(2001 - present)

NYSE Newsletters

(2004 - present)

NYSE Press Releases

(2000 - present)

NYSE Rule Filings

(2004 - present)

NYSE Rule Interpretations

 

NYSE Topics of Interest

(2007 - present)

NYSE Weekly Bulletins

(2000 - present)

 

 

PCAOB  Public Company Accounting Oversight Board

 

 

PCAOB Audit Practice Alert

(2006 - present)

PCAOB Briefing Papers

(2003 - present)

PCAOB Comments on Rulemaking

(2003 - present)

PCAOB Concept Releases

(2007 - present)

PCAOB Disciplinary Proceedings

(2005 - present)

PCAOB Final Rules

(2003 - present)

PCAOB Fiscal Year Budgets

(2004 - present)

PCAOB Form 19b-4

(2003 - present)

PCAOB Forms

 

PCAOB Inspection Reports

(2004 - present)

PCAOB News Releases

(2003 - present)

PCAOB Other Guidance

(2007 - present)

PCAOB Other Rulemaking Materials

(2006 - present)

PCAOB Policy Statements

(2005 - present)

PCAOB Proposed Rules

(2003 - present)

PCAOB Speeches

(2003 - present)

PCAOB Staff &A

(2004 - present)

PCAOB Statements

(2003 - present)

PCAOB Strategic Plans

(2007 - present)

PCAOB Transcripts

(2004 - present)

 

 

SEC  Securities & Exchange Commission

 

All regulatory releases electronically available since 1994;
limited selection prior to 1994

SEC ALJ Initial Decisions

(1960 - present)

SEC ALJ Orders

(1996 - present)

SEC Administrative Proceedings

(1995 - present)

SEC Amicus Briefs

(1996 - present)

SEC Annual Reports

(1935 - present)

SEC Appellate Briefs

(2004 - present)

SEC Budget Reports

(2006 - present)

SEC Buy American Act Reports

(2005 - 2010)

SEC Comments on Rulemaking

(1996 - present)

SEC Commission Notices

(2000 - present)

SEC Commission Orders & Opinions

(1996 - present)

SEC Complaints

(1997 - present)

SEC Compliance & Disclosure Interpretations

(2007 - present)

SEC ComplianceAlert

(2007 - present)

SEC Concept Releases

(1994 - present)

SEC Exemptive Orders

(1999 - present)

SEC FAIR Act Reports

(2001 - present)

SEC FAQs

(1997 - present)

SEC Final Rules

(1992 - present)

SEC Forms

 

SEC Industry Guides

(2007 - present)

SEC Interpretive Releases

(1978 - present)

SEC Investment Adviser Act Notices

(2006 - present)

SEC Investment Company Act Deregistrations

(2007 - present)

SEC Investment Company Act Notices

(2007 - present)

SEC Investors Claims Funds

(1996 - present)

SEC Litigation Releases

(1995 - present)

SEC Memoranda of Understanding

(1988 - present)

SEC No-Action Letters

(1971 - present)

SEC OIG Investigative Memoranda

(1998 - present)

SEC OIG Investigative Reports

(2009 - present)

SEC OIG Issued Reports

(1994 - present)

SEC OIG Semiannual Reports

(1994 - present)

SEC OIG Testimony

(2009 - present)

SEC Other Guidance

(1996 - present)

SEC PCAOB Releases

(2003 - present)

SEC Petitions for Rulemaking

(2001 - present)

SEC Policy Statements

(1997 - present)

SEC Press Releases

(1997 - present)

SEC Proposed Rules

(1994 - present)

SEC Reports of Investigation

(1996 - present)

SEC Risk Alerts

(2011 - present)

SEC SRO Rulemaking

(1998 - present)

SEC Select SEC and Market Data

(2004 - present)

SEC Special Studies

(1994 - present)

SEC Speeches

(1950 - present)

SEC Staff Accounting Bulletins

(1995 - present)

SEC Staff Legal Bulletins

(1997 - present)

SEC Staff Letters

(2000 - present)

SEC Telephone Interpretations

(1997 - 2006)

SEC Testimony

(1995 - present)

SEC Trading Suspensions

(2009 - present)

 

 

Treasury   Department of the Treasury

 

 

Treasury Acquisition Bulletins

(1982 - present)

Treasury Acquisition Procedures

(2010 - present)

Treasury Budget-in-Brief

(2001 - present)

Treasury Congressional Justifications

 

Treasury Directives

(1986 - present)

Treasury FOIA Reports

(1979 - present)

Treasury GAO High Risk Area Improvement Plans

 

Treasury News

(1995 - present)

Treasury OIG Audit and Evaluation Reports

(2005 - present)

Treasury OIG Congressional Testimony

(2009 - present)

Treasury OIG Fraud Alerts

(2008 - present)

Treasury OIG Inspector General Deskbook

Current Version

Treasury OIG Investigations Reports

(2009 - present)

Treasury OIG Other Reports

(2011 - present)

Treasury OIG Peer Audit Reports

(2006 - present)

Treasury OIG Planning Documents

(2005 - present)

Treasury OIG Privacy Impact Assessment

(2009 - present)

Treasury OIG Semiannual Reports to Congress

(2005 - present)

Treasury Performance Documents

(2004 - present)

Treasury Procurement Directives

(1992 - present)

Treasury Remarks

(2012 - present)

Treasury SBLF Program Reports

(2011 - present)

Treasury Speeches

(2001 - present)

Treasury Statements

(1997 - present)

Treasury Strategic Plans

(2003 - present)

Treasury Summary of Capital Investments

(2013 - present)

Treasury Testimony

(2001 - present)

 

 

Treas - FinCEN Financial Crimes Enforcement Network

 

FinCEN Administrative Rulings

(1988 - present)

FinCEN Advisories

(1996 - present)

FinCEN Annual Reports

(2004 - present)

FinCEN Bank Secrecy Act Guidance

(1999 - present)

FinCEN Enforcement Actions

(1999 - present)

FinCEN Financial Institutions Outreach Initiative Reports

(2009 - present)

FinCEN News Releases

(1994 - present)

FinCEN Other Reports

(1998 - present)

FinCEN Reports to Congress

(2002 - present)

FinCEN SAR Activity Review - By the Numbers

(2003 - present)

FinCEN SAR Activity Review - Trends, Tips & Issues

(2000 - present)

FinCEN Speeches

(2004 - present)

FinCEN Strategic Analytical Reports

(2006 - present)

FinCEN Strategic Plans

(1997 - present)

FinCEN Suspicious Activity Reporting Guidance

(2003 - present)

FinCEN Testimony

(2004 - present)

 

 

Treas - FSOC Financial Stability Oversight Council

 

FSOC Annual Reports

(2011 - present)

FSOC Council Governance Documents

(2012 - present)

FSOC Council Meeting Minutes

(2010 - present)

FSOC Office of Financial Research Working Paper Series

(2012 - present)

FSOC Studies and Reports

(2011 - present)

 

 

Treas - IRS Internal Revenue Service

 

IRS Actions on Decisions

(1997 - present)

IRS Appeals Settlement Guidelines

(1989 - present)

IRS Applicable Federal Rates Rulings

(2000 - present)

IRS Around the Nation

(2003 - present)

IRS Chief Counsel Bulletins

(1997 - present)

IRS Chief Counsel Notices

(1998 - present)

IRS Emailed Chief Counsel Advice Reports

(2009 - present)

IRS Exempt Organization Field Memoranda

(1999 - present)

IRS FOIA Annual Reports

(1998 - present)

IRS Fact Sheets

(1997 - present)

IRS Forms & Instructions

(2012 - present)

IRS General Counsel Memoranda

(1997 - present)

IRS Information Letters

(2000 - present)

IRS Internal Revenue Bulletins

(1995 - present)

IRS LB&I Coordinated Issue Papers

(1991 - present)

IRS LB&I Industry Director Guidance

(2001 - present)

IRS Legal Advice Issued by Associate Chief Counsel

(2006 - present)

IRS Legal Advice Issued by Field Attorneys

(2001 - present)

IRS Legal Advice Issued to Program Managers

(1987 - present)

IRS National Taxpayer Advocate Annual Report to Congress Report Cards

(2004 - present)

IRS National Taxpayer Advocate Annual Report to Congress

(2000 - present)

IRS National Taxpayer Advocate Congressional Testimony

(2004 - present)

IRS National Taxpayer Advocate Objectives Report to Congress

(2001 - present)

IRS National Taxpayer Advocate Service Interim Guidance Memoranda

(2011 - present)

IRS National Taxpayer Advocate Service Memorandums of Understanding

(2010 - present)

IRS News Releases

(1996 - present)

IRS Priority Guidance Plans

(2000 - present)

IRS Privacy Impact Assessments

(2006 - present)

IRS Publications and Notices

(1982 - present)

IRS Statistics of Income Bulletins

(1981 - present)

IRS Tax Exempt Bonds Work Plan

(2007 - present)

IRS Tax Tips

(2011 - present)

IRS Taxpayer Advocate Service Level Agreements

(2005 - present)

IRS TIGTA Annual Audit Plans

(1999 - present)

IRS TIGTA Audit Reports

(1998 - present)

IRS TIGTA Congressional Testimony

(2000 - present)

IRS TIGTA Management Performance Challenges Facing IRS

(1999 - present)

IRS TIGTA Press Releases

(2008 - present)

IRS TIGTA Semiannual Reports

(1999 - present)

IRS Written IRS Determinations

(1999 - present)

 

 

Treas - OCC  Office of the Comptroller of the Currency

 

OCC Advisory Letters

(1994 - present)

OCC Alerts

(1995 - present)

OCC Briefs

(1966 - present)

OCC Bulletins

(2005 - present)

OCC Consumer Advisories

(2005 - present)

OCC Court Decisions

(2003 - present)

OCC Economics Working Papers

(1993 - present)

OCC Electronic Interpretations and Actions

(1995 - present)

OCC Enforcement Actions

(1998 - present)

OCC Forms

 

OCC Handbooks

 

OCC Licensing Manuals

(1998 - present)

OCC Mortgage Metrics Reports

(2008 - present)

OCC News Releases

(1995 - present)

OCC Opinions and Letters

(1996 - present)

OCC Quarterly Report on Bank Derivatives Activities

(1995 - present)

OCC Sample Filing Forms and Agency Responses

 

OCC Speeches

(1999 - present)

OCC Testimony

(1995 - present)

 

 

Treas - OFAC  Office of Foreign Assets Control

 

 

OFAC Actions

(2000 - present)

OFAC Enforcement Actions

(2003 - present)

OFAC Interpretative Rulings

(2002 - present)

 

 

USDA   U.S. Department of Agriculture

 

 

USDA Agricultural Fact Book

(1997 - 2002)

USDA Annual FOIA Reports

(2001 - present)

USDA Budget Summary Annual Performance Plan

(2009 - present)

USDA Chief FOIA Officer Report

(2010 - present)

USDA Directives

(1981 - present)

USDA Judicial Officer Annual Reports

(1996 - present)

USDA News Releases

(2001 - present)

USDA OIG Audit and Review Guides

(1999 - present)

USDA OIG Audit Reports

(1994 - present)

USDA OIG Investigative Development Bulletins

(2006 - present)

USDA OIG Miscellaneous Items

(1996 - present)

USDA OIG News Releases

(1998 - present)

USDA OIG Semiannual Reports to Congress

(1978 - present)

USDA OIG Testimony

(1999 - present)

USDA Performance and Accountability Reports

(2001 - present)

USDA Policy Memoranda

(2006 - 2008)

USDA Quarterly High-Dollar Reports

(2010 - present)

USDA Speeches

(2001 - 2011)

USDA Summary of Decisions by the Judicial Officer

(1995 - present)

 

 

USPTO   United States Patent and Trademark Office

 

 

USPTO Annual Reports

(1993 - present)

USPTO Budgets, Plans, & Reports

(2003 - present)

USPTO Congressional Budget Justifications

(2005 - present)

USPTO Emergency Notices

(2001 -  present)

USPTO Federal Activities Inventory Reform Act

(2000 - 2009)

USPTO Final Decisions of the Board of Patent Appeals and Interferences

(1997 - present)

USPTO Final Decisions of the Office of Enrollment and Discipline

(1980 - present)

USPTO Press Releases

(1995 - present)

USPTO Public Comments

(1995 - present)

USPTO Strategic Plans

(2003 -  present)

USPTO Testimony & Speeches

(2001 -  present)



[Return to All Help Table of Contents]



Daily Memo Alerts

 

Overview

Setting Up Daily Memo Alerts

Viewing and Editing Daily Memo Alerts

Activating and De-activating Daily Memo Alerts

Deleting Daily Memo Alerts

 


 

Overview   [top]

 

Knowledge Mosaic Daily Memo Alerts allow you to customize alerts to receive memos matching your search criteria--by practice area, keyword, or law firm. Daily Memo Alerts consist of a once-daily email with links to memos that match your search criteria. You will only receive daily emails on days where memos that match your search criteria are added to our database.

 

Daily Memo Alerts are included in all Knowledge Mosaic accounts at no extra charge. To utilize this feature, you must be logged into your personal account. If your organization has IP Authentication (meaning you don't need to enter a login to access the website) you will need to create a personal account to use these features; a personal account is included in all firm-wide (IP Authenticated) licenses free of charge. This distinction is necessary because Daily Memo Alerts must be sent to an individual email address. To create a personal account, call or email Knowledge Mosaic, 1.866.650.3600, KMsupport@lexisnexis.com.

 


 

Setting Up a Daily Memo Alert   [top]

 

From the Knowledge Mosaic home page click Law Firm Memos and then click Alert Manager at the top of the screen in the green navigation bar. If a Daily Memo Alert has not yet been created for your account, the screen will display the text You currently have no Daily Memo Alerts set up.

 

To create an alert click Add New Alert. On the add new alert page enter a text search, select one or more practice areas or firms, or opt to receive a daily memo alert on all new memos added to our database by not making any selections.

 

Step 1: To receive alerts on memos whose titles or summaries contain specific text, click into the text search box and type a text string. See our advanced text search help for more details on text searching. Leave the text box blank if you wish to receive alerts to all memos, regardless of text. Note that only the titles and summaries of the law firm memos are text searchable.

 

Step 2: To receive alerts when memos from specific legal practice areas have been added to our database, make a selection in the Practice Area scroll-down menu. To make multiple selections in the practice area menu, hold down the Ctrl key, while clicking additional practice areas. If you do not make a selection you will receive alerts on memos from all practice areas.

 

Step 3: To receive alerts when memos from specific firms have been added to our database, make a selection in the Firm scroll-down menu. To make multiple selections in the firm menu, hold down the Ctrl key, while clicking additional firms. If you do not make a selection you will receive alerts on memos from all firms.

 

Step 4: Enter a name for your alert and click Submit.

 

Once the alert is set up you will be taken to the alert manager page for your account. The alert you just created should now be listed on this page. Knowledge Mosaic will send will send a confirmation email; check your inbox for this email to ensure delivery is not hindered by an email filter.

 

You will be sent a daily email with links to memos match your alert criteria; the email will be titled Daily Memo Alert - [Insert: your alert's name]. Add as many alerts as desired. You will receive one daily email for each alert that you create. Alerts will remain active until as long as your account with Knowledge Mosaic is active. You will only receive daily memo alert emails on days when memos that match your alert criteria are added to the database.

 


 

Viewing and Editing Daily Memo Alerts   [top]

 

To view or edit current memo alerts, go to the Alert Manager landing page and click the View/Edit link located to the right of the memo alert you would like to modify. Once you have clicked in to the specific memo alert entry page, you have the option to modify any of the memo alert settings.

 

When finished editing, click Submit to save changes to your memo alert.

 


 

Activating and De-activating Daily Memo Alerts   [top]

 

From the Alert Manager landing page, you have the option to activate and deactivate your memo alerts. The checkboxes located underneath the heading Active allow you to activate and de-activate your memo alerts without deleting or re-entering your criteria. If you would like to save a memo alert for future use, but would like to temporarily suspend the email alerts, from the Alert Manager landing page, uncheck the boxes for those memo alerts you would like to suspend.

 


 

Deleting Daily Memo Alerts   [top]

 

From the Alert Manager page, click Delete to permanently remove a memo alert from your personal account. A pop-up window will confirm "Are you sure you want to delete this record?" click OK to delete. The page will refresh and the memo alert you deleted should no longer display in your memo alert list.



[Return to All Help Table of Contents]



Model Business Documents

 

Overview

Searching Model Business Documents

    Document Title

    Text Search

    Additional Search Fields

    Filer Name, Ticker, or CIK

    Date Filed

    SIC Code

    Industry

    Index Membership

Viewing Search Results

    Sort by

    Hide Details/Show Details

    Viewing Documents

    Filer Info

Do More with this Search

    Excel Report

    Email Documents

    Adding to Document Cart

 


 

Overview   [top]

 

The Model Business Documents page allows for broad searching across over 4 million company documents that were included as exhibits to Securities and Exchange Commission filings. Our business documents library includes a wide range of document types including Agreements, Articles, Assignments, Bylaws, Certifications, Charters, Consents, Leases, Offers, Opinions, and Plans. You can employ text searching at any level of your search, and dynamic faceting helps you refine your search as you go.

 


 

Searching Model Business Documents   [top]

 

Model Business Documents offers the ability to refine your query as you go, returning instant results as you enter search terms and make check box selections. Searching is initially available on Document Title, Text Search, Filer Name, Date Filed and SIC Code. Once you have initiated a search, you can then refine your results by Industry and Index Membership.

 

The facets which appear in the left side bar on the results page, allow you to refine your search as well as expand it. Facet values in the sidebar are followed with numbers in parentheses, which indicate how many of the results are from that source. If a value is not listed, that means that no results matching that value were located with the query.

 

To clear your search terms, click on "Start Over," which appears at the top of the search terms and facets column just to the right of "Refine Results."

 

Document Title   [top]

 

Simply enter the specific type of document you are looking for in the Document Title search box, or select from the scroll box, titled "Common Document Titles," provided just below the search box. If you select a title from the scroll box, your selection will automatically populate the Document Title search box and execute your search. You may only search on one document title at a time.

 

You can also click on the "See more titles" link for a list of over 300 sample titles available in our Model Business Documents library. You can copy and paste a title from the Sample Documents Title list into the Document Title search box to execute a search.

 

Text Search   [top]

 

Use the Text Search field to locate documents which contain a particular word or phrase.

 

Using our brand new text search technology called Qmax™, we return documents that contain all words in your query and display the strongest matches on top. Our engine supports full Boolean advanced text search, but your input of these operators is completely optional. Initially boosted by relevance, results can also be viewed based on alternate sorting options.

 

For additional information and examples on entering a text search, click Learn More link located underneath the Text Search box. This document describes relevance boosting and the Boolean, nested, proximity, and wildcard search operators that can be used in the text search box. 

TIP: Use quotation marks around a search string to limit your results to items that contain an exact match. Example: "golden parachute"

Additional Search Fields   [top]

 

These search fields pertain to the Company that filed the document with the Securities and Exchange Commission (SEC), often as an exhibit that is material to and attached to an SEC filing. The default search page initially allows you to search on Filer Name, Date Filed and SIC Code. Once you have returned a set of results, you will also be able to refine your results by Industry and Index Membership.

 

Filer Name, Ticker, or CIK   [top]

 

You may search by company name, ticker or Central Index Key (CIK), which is a number given to a company by the SEC. A predictive search box will help you identify company names. Only companies for which documents are available are included in the predictive search.

 

Date Filed   [top]

 

You may select either the Time Frame or Date Range option by clicking on the appropriate check box to the left. If you don't make selections or entries in either of these boxes, your search will yield results for All Dates.

 

The Time Frame option offers several choices for limiting your search chronologically by date. You can only make one selection from the drop-down menu in the Time Frame search box. If you do not make a selection your search will default to search for All Dates.

 

The Date Range option allows for a more customized date search. You can enter a specific date range for your search, such as 02/01/2003 - 04/15/2003. Enter dates in the format mm/dd/yyyy or use the pop-up calendar.

 

SIC Code   [top]

 

To search on Filers with specific SIC Codes (Standard Industrial Classification Codes), enter the relevant code in the SIC Code search box. You may enter a range of SIC Codes in either of the following formats: 2001-2999 or 4000~5000. Click on the Info link to browse or search for an industrial classification code.

 

Industry   [top]

 

To search for documents pertaining to a particular industry, use the Industry checkboxes. You may uncheck All Industries or uncheck individual selections to make your selections.

 

Index Membership   [top]

 

The Index Membership check boxes allow you to search for company filers listed on a given index - Fortune 500, Russell 1000, Russell 2000, S&P 100, S&P 500, S&P MidCap, or S&P SmallCap. The default setting for this search variable is for All Indexes. Index Membership is available for 8,000 leading filers.

 


 

Viewing Search Results   [top]

 

Sort by   [top]

 

Results are automatically displayed by Relevance, with the most relevant documents listed first. Ranking factors include, but are not limited to exact matches of your Document Title and Text Search terms, the frequency in which a text search term appears in the document, and the date of the document.

 

Using the Sort by dropdown, you can change the sort default to sort by Newest First or Oldest First.

 

Hide Details/Show Details   [top]

 

By default, all information related to your search selections will be displayed. This may include Document Title, Filer Name, Date Filed, Industry, SIC Code and Index Membership along with any hit highlighting if you executed a text search. Use the Hide Details link to the right of the Sort by dropdown for a clean display of only the Document Title, Filer Name and Info, and Date Filed.

 

Viewing Documents   [top]

 

To view your document, click the hyperlinked Document Title. The result will open in a new window or tab depending on the configuration of your browser. Once you have opened a document from your list of results, you can use the Prev Doc and Next Doc links in the rust-colored title bar to navigate through the rest of your results in the order that they appear in the results list.

 

Documents display in HTML format as the default. You can also view your document in a PDF or Word format, if available, by selecting alternative formats from the Display drop down at the top right of the rust colored title bar, above the Add to Document Cart and Email links. You can select the Pop-out (PDF) link to create a permanent PDF document link.

 

Filer Info   [top]

 

To learn more about the company filing a particular document, click the Filer Info hyperlink located just to the right of the company name in the results. The info link provides a summary of company information for the filer, including general information such as address and CIK, industry classifications, market and financial information, and quick links to view different types of the company's SEC filings. Market and financial data are available for more than 8,000 leading filers.

 


 

Do More with this Search   [top]

 

Excel Report   [top]

 

Once you have returned search results, you have the option to generate an Excel report of your search results. Excel Reports include your entire list of search results (up to 2,000 records) and provide a variety of ways by which to sort and display results.

 

To create an Excel report, click Excel Report, located at the top right of the results page above the Sort by drop down and Hide Details link. This will download your search results to your computer and prompt you to open the file in MS Excel.

 

If nothing happens when you click Excel Report, it is possible your internet browser is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report or contact us at KMsupport@lexisnexis.com, 866.650.3600.

 

Email Documents   [top]  
 

Once you have selected and/or viewed a document, you can email the document by clicking on the Email link at the top of the document page. This feature allows you to email the document in one of several formats: as an HTML link, as a PDF Attachment or, if available, a Word attachment.

 

To batch email documents to yourself, a client, or a colleague, use the checkboxes located to the left of each search result, and then click the Email Checked button located just above the search results; this will open a new browser window. In the window that appears, enter your information and separate multiple email addresses with commas. Links to the documents you selected will be emailed to the address(es) you have entered.

 

Adding to Document Cart   [top]  

 

The document cart (available with a personal username and password) allows you to select documents from throughout the website and add them to your cart. The cart allows you to email, batch print, or save your selection of documents. To create a Personal Account at any time email accounts@knowledgemosaic.com or call us toll-free 866.650.3600. Your document cart is accessible from the orange navigation bar at the top of Knowledge Mosaic webpages. Your document cart can hold a maximum of 100 documents at a time. For more help on the document cart, click here.

 

You can also add individual documents to your cart as you view the document by clicking the Add to Document Cart link at the top of the document page to the right of the Pop-out PDF link and to the left of the Email link.



[Return to All Help Table of Contents]



Top of Form

 

Top of Form

News & Blogwatch Archive

 

Overview

Browsing News & Blogwatch Archive

Searching News & Blogwatch Archive

    Publication Type

    Text Search

    Publication Date

Viewing News & Blogwatch

 


 

Overview   [top]

 

Contents: Previous six months of each of our News Service publications, including

  • Securities Mosaic� Daily News 
  • Securities Mosaic� Fund News
  • Securities Mosaic� Litigation News
  • Communications Mosaic� Daily News
  • Energy Mosaic� Daily News
  • Securities Mosaic� Blogwatch
  • SEC Daily News Digest
  • FCC Daily News Digest
  • Weekly Reports
  • Paper Trail

World Press News stories are maintained by the publishers, who may require registration or limit access to archived content.
Source: Knowledge Mosaic news publications
Updated: Daily

Search and browse the News & Blogwatch Archive for past issues or certain items from Knowledge Mosaic news publications.
 


 

Browsing News & Blogwatch Archive   [top]

 

The list of news emails and documents that are maintained in our archive are displayed by type below the Search area. Click on the type of news or document to view or hide the list of issues. Each issue is listed by the date it was published. The Paper Trail documents are listed by topic and date of last update.

 


 

Searching News & Blogwatch Archive   [top]

 

You can search the last six months of the following publications:

  • Daily News (Securities, Fund, Litigation, Communications, and Energy)
  • Blogwatch

Publication Type    [top]

 

If you know the news publication type you would like to search, make a selection in the Select Publications to Search scroll-down menu.

TIP: To select more than one type of news publication at a time, click the first new publication you would like and while holding down the Ctrl key, click the additional publication types. 

Text Search    [top]

 

The text search function searches the full text of the SM Blogwatch emails, and searches titles only for items from the daily news publications. For instructions on conducting advanced text searches such as Boolean searching, click the Advanced Search Help hyperlink located underneath the text search box.

 

Publication Date    [top]

 

Search publications from the last six months by time frame or date range. Time Frame is a flexible variable with options such as Last 7 Days. You can only make one selection from the drop-down menu in the Time Frame search box.

 

In the Date Range search boxes, you can enter a very specific date range for your search, such as 02/01/2010 - 04/15/2010. Enter dates in Date Range in the format mm/dd/yyyy. If you don't make selections or entries in either of these boxes, your search will yield results for all dates. 

 

TIP: You may enter either a Time Frame or a Date Range, but NOT both. 

 


 

 Viewing News & Blogwatch   [top]

 

To view a news email or individual news article, click on the hyperlinked date or title.

 

Links to Law Firm Memos and World Press news stories go directly to the source websites. Click on a Blog's name to visit its website. All other links go to the document on KnowledgeMosaic.com. To search for Law Firm Memos older than 6 months see our Law Firm Memos search page.

Bottom of Form

 



[Return to All Help Table of Contents]



Top of Form

 

Top of Form

News & Blogwatch Archive

 

Overview

Browsing News & Blogwatch Archive

Searching News & Blogwatch Archive

    Publication Type

    Text Search

    Publication Date

Viewing News & Blogwatch

 


 

Overview   [top]

 

Contents: Previous six months of each of our News Service publications, including

  • Securities Mosaic� Daily News 
  • Securities Mosaic� Fund News
  • Securities Mosaic� Litigation News
  • Communications Mosaic� Daily News
  • Energy Mosaic� Daily News
  • Securities Mosaic� Blogwatch
  • SEC Daily News Digest
  • FCC Daily News Digest
  • Weekly Reports
  • Paper Trail

World Press News stories are maintained by the publishers, who may require registration or limit access to archived content.
Source: Knowledge Mosaic news publications
Updated: Daily

Search and browse the News & Blogwatch Archive for past issues or certain items from Knowledge Mosaic news publications.
 


 

Browsing News & Blogwatch Archive   [top]

 

The list of news emails and documents that are maintained in our archive are displayed by type below the Search area. Click on the type of news or document to view or hide the list of issues. Each issue is listed by the date it was published. The Paper Trail documents are listed by topic and date of last update.

 


 

Searching News & Blogwatch Archive   [top]

 

You can search the last six months of the following publications:

  • Daily News (Securities, Fund, Litigation, Communications, and Energy)
  • Blogwatch

Publication Type    [top]

 

If you know the news publication type you would like to search, make a selection in the Select Publications to Search scroll-down menu.

TIP: To select more than one type of news publication at a time, click the first new publication you would like and while holding down the Ctrl key, click the additional publication types. 

Text Search    [top]

 

The text search function searches the full text of the SM Blogwatch emails, and searches titles only for items from the daily news publications. For instructions on conducting advanced text searches such as Boolean searching, click the Advanced Search Help hyperlink located underneath the text search box.

 

Publication Date    [top]

 

Search publications from the last six months by time frame or date range. Time Frame is a flexible variable with options such as Last 7 Days. You can only make one selection from the drop-down menu in the Time Frame search box.

 

In the Date Range search boxes, you can enter a very specific date range for your search, such as 02/01/2010 - 04/15/2010. Enter dates in Date Range in the format mm/dd/yyyy. If you don't make selections or entries in either of these boxes, your search will yield results for all dates. 

 

TIP: You may enter either a Time Frame or a Date Range, but NOT both. 

 


 

 Viewing News & Blogwatch   [top]

 

To view a news email or individual news article, click on the hyperlinked date or title.

 

Links to Law Firm Memos and World Press news stories go directly to the source websites. Click on a Blog's name to visit its website. All other links go to the document on KnowledgeMosaic.com. To search for Law Firm Memos older than 6 months see our Law Firm Memos search page.

Bottom of Form

 



[Return to All Help Table of Contents]



Private Placement Memoranda: Advanced Search


Overview

Searching for Documents

Viewing Results

Refining Search Results

Using Document Tools


 



Overview     [top]


The Private Placement Memoranda Advanced Search feature provides an extensive database of private offerings under Rule 144A, Reg S, and Reg D.

 



Searching for Documents    [top]


You can search Private Placement Memoranda using a variety of filters to limit your results.

To search Private Placement Memoranda:

  1. Enter your search parameters.

    • Text - To search using specific search terms, enter them in the search box, using either natural language or Boolean search construction.

    • Offering Amount - To search using offering amounts, enter the values in the search boxes. (Large numbers can be entered in the following formats: 1000, 2,000,000, 250M or 1B. Ratios can be entered in fraction or decimal format: such as, 3/4, 0.75.)

    • Memo Date - To search a date range, enter the dates into the search boxes or click on the calendar icons to select dates. You can use the drop-down list to sort by predefined time periods. 

    • Issuer, Bookrunner, Legal Advisor, Trustee, and Auditor - To search by issuer, bookrunner, legal advisor, trustee, or auditor, enter them in the search box. As you type, you'll see a list of suggestions matching those terms within our documents. You can select one of these to replace what you were entering in the search box, or you can continue with the term(s) you entered. You can make multiple selections.  

    • Exemption Type, Exchange, and Business Location - To restrict your search to specific exemption types, exchanges, and business locations, select Change beside the search box, then select one or more of the options from the list that you want to search.

    • Security Type and Currency Type - To restrict your search to a specific security type or currency type, select your choice from the search box drop-down lists.

  2. Select Search.

 

 

Viewing Results    [top]

 

You can tailor how you view your search results.

The Advanced Search clearly displays all relevant information and provides options for customizing, viewing, and refining your results.

 



To collapse preview panels of search results:

  1. Click the Hide All link next to the toolbar.

  2. To expand them, select a Show All radio button to display General Info, Tranche Details, or Hits in Context.

 

Note: If your search consists of a text search, the results will include up to three previews of the document text under the document link with your search terms highlighted. 

 


To access a printable view for a document:

Use the Options drop-down list to select the Printable View link.

 

 

To generate an Excel report of your results:

Use the Options drop-down list to select the Excel Report link.

 

Note: The report is generated using the first 2,000 documents appearing in your results. Resorting your results will be reflected in a new report.

  

To change the order of your results:

Use the Sort by drop-down list to select a new value. Your results will be resorted automatically.

  

To change how many items appear on the page:

Use the Items per page drop-down list to select a value.

 

 


 

Refining Search Results    [top]

 

You can narrow or broaden the search results on your list. By default, they will be ordered by Newest First.

To remove search parameters:

Click the Close icon in the blue dialog box to remove a specific search parameter.

 

Note: The results will automatically refresh once you remove a search parameter.

 

To add search parameters using post-search filters:

  1. Enter your search parameters in one or more of the Search within results search boxes.

  2. Click the Search icon for that search box.

 

Note: The post-search filters are the same as those on the search page. When you click each box's Search icon, a new blue dialog box will appear at the top with your parameter listed, and the search box will disappear. (The Text Search box is the exception to this and will remain, allowing you to make additional text searches.) The relevant search box will re-appear if you close a blue dialog box. The results will automatically refresh once you add a new search parameter.

 


 

Using Document Tools    [top]

 

You can manipulate selected documents using the following tools.

 

To email your results:

  1. Select the result(s) you would like to email.

  2. Click the Email icon.

  3. Fill out the form.

  4. Select document format.

  5. Click Send Email.

 

Note: Your selection is limited to 25 items.

 

To add your result to the Document Cart:

  1. Select the result(s) you would like to add to the Document Cart.

  2. Click the Document Cart icon.

 

Note: Your selection is limited to 25 items.



[Return to All Help Table of Contents]



Redline Tool

 

Overview

Managing Selections in the Selections Tab

        Viewing Selections in Full Size

        Sorting and Re-naming Selections

        Adding Your Own Selection

        Removing Selections from the Redline Tool

        Moving Between the Redline and Selections Tabs

Using the Redline Tab

        Viewing Changes to Redline Documents

        Emailing Redline Documents

        Printing Redline Documents

        Opening Redline Documents in Word

        Adding Redline Documents to the Document Cart

         


 

Overview   [top]

 

The Redline Tool allows you to quickly compare changes between two documents by adding results from a 10-K Items search, 10-Q Items search, 8-K Items search, 20-F Items search, or a Risk Factors search to the Redline Tool Selections tab and choosing two Selections to compare. You can also add text from a document in progress as a Custom Selection to compare alongside selections made from Knowledge Mosaic searches. At any time you can access the Redline Tool via the Redline link in the toolbar to the left of the Doc Cart.

 

The Redline Tool is a personalized account feature. To utilize this feature, login to your personal account. If your organization has IP Authentication (meaning you don't need to enter a login to access the website) you will need to create a personal account; a personal account is included in all firm-wide (IP Authenticated) licenses free of charge. To create a personal account, visit our Support tab, or you can call or email Knowledge Mosaic, 1.866.650.3600, KMsupport@lexisnexis.com.  

 


 

Managing Selections in the Selections Tab   [top]

 

Selections can be added to the Selections tab from a 10-K Items, 10-Q Items, 8-K Items, 20-F Items, or Risk Factors search by clicking the Save Checked for Redline button above the results. You’ll be given the option in a pop-up to Go to Redline Tool or to go Back to Results. The Selections tab can hold up to 25 selections at a time. Selections can be deleted at any time by checking the selections you wish to delete and clicking the Delete button.

  

Viewing Selections in Full Size  [top]

 

To view a full size, pop-out version of any selection, click the Full View link in the lower-right corner of the Excerpt window.

 

Sorting and Re-naming Selections   [top]

 

You can give your selections custom titles by clicking Rename, entering your desired title in the text bar, and clicking Save. You can move any selection to the top of your queue by clicking Move to Top.

 

Adding Your Own Selection   [top]

 

Custom Selections can be added by clicking the Add Your Own Selection link, copying text out of any document in progress, and pasting the text into the pop up text window. Give your Custom Selection a title in the text bar next to Name Your Selection. Click Save Selection to save this Custom Selection alongside the others in your Selections tab.

 

Removing Selections from the Redline Tool   [top]

 

To remove individual items from the Selections tab, select the checkboxes to the left of the selections that you would like to delete, then click the Delete button at the top or bottom of the list. Click OK to confirm.

 

Moving Between the Redline and Selections Tabs   [top]

 

You can always go back to your Selections tab to view or modify your selections, and move back to your Redline version by clicking the Redline tab (if two selections are still checked) or Compare Checked on the Selections tab. You can also close the Redline Tool tab entirely and your selections will be saved.

 


 

Using the Redline Tab   [top]

 

To compare two selections, check any two items in your Selection tab and click the Compare Checked button above or below the results. The Redline version of the two selections will open automatically in the Redline tab. You can move back and forth easily between Redline and Selections by clicking either tab at the top of the page.

 

Viewing Changes to Redline Documents   [top]

 

The Redline version of your two selections will display changes using three different colors. Added text will display in green text, deleted text will display in red text with a red strikethrough, and moved text (any identical block of text that has been moved from one location to another between the two selections) will appear in blue text. You can navigate through the changes using the first, prev, next, and last buttons along the grey bar on the Redline tab above the Redline version.

 

Emailing Redline Documents   [top]

 

To email the Redline version of your two selections, click the Email button in the grey bar on the Redline tab. This will open a new window. Enter the email addresses to which you'd like to send the document, then your own email address (your email address will be used only to provide a Reply-To address for the recipient). Click Email This Document. Click Close to return to the Document Cart. Links to each document will be emailed to the addresses you have entered.

 

Printing Redline Documents   [top]

 

To print the Redline version of your two selections, click the Print link in the grey bar on the Redline tab.

 

Opening Redline Documents in Word   [top]

 

To download the Redline version of your two selections into Microsoft Word, click the Open in Word button in the grey bar on the Redline tab. This will prompt you to open the document in Word (or your default word processor) or give you the option to save the document. Depending on your browser and your word processor, the document may open automatically once you click Open in Word with no prompt.

 

Adding Redline Documents to the Document Cart   [top]

 

To add the Redline version of your two selections to your Document Cart, click the Add to Doc Cart button in the grey bar on the Redline tab. You’ll see a notification confirming that your redlined document has been added. You can go to your Document Cart at any time by clicking the link in the toolbar in the upper right portion of the screen.

 

 



[Return to All Help Table of Contents]



Registrations Search

 

Overview

Searching Registrations Filings

          Entity

          Dollar Amount

          Security Type

          Form Type

          Law Firm

Issuer or Underwriter Representation

          Filing Date and Effective Date

          Submitting a Search

Viewing Search Results

Sorting Search Results

Creating a Printable Results Report

Creating an Excel Report

Viewing Registrations Filings

Using Registrations Filings

         Emailing Documents

         Adding to Document Cart

 


 

Overview   [top]

 

Contents: Registration statements filed with the SEC that appear in the SEC News Digest listings from 2002 to present (for a complete searchable listing of all registration filings, please see the SEC Filings page)

Source: SEC News Digest and SEC EDGAR Filings

Updated: Daily

 

The Registrations Search page contains registrations of securities offerings as published in the SEC News Digest -- most, but not all, of such filings made. More specific than searching for registration statements on the SEC Filings page, the page allows you to search securities registrations by filing type, entity, type of securities (including Asset-Backed Securities or Debt Convertible into Equity), filing or effective date, dollar amount of registration, file number, and even the law firm representing the filing company (or the underwriting of its offering). 


 

Searching Registrations Filings   [top]

 

To begin searching, enter search variables. If you change your mind while entering search variables and want to return all search boxes to their default states, click the Reset button. When you have entered the appropriate search variables for your search, click Search

 

Entity   [top]  

 

If you are looking for a securities registration issued by a particular company, type the name of the company into the Entity search box (The default selection for Entity is Company). This search box is not case sensitive. If you do not know the complete name of a company (e.g., Inc, & Co., Limited, Global, etc.), enter the part you know. Your search will return all results whose company names include that word or words. You may also search by CIK or File Number by selecting one of these options from the drop-down under Entity.

 

Dollar Amount   [top]  

 

You may also limit your search by the amount of the registration. Enter a minimum amount in the From box and a maximum amount in the To box. Any format is acceptable: with or without commas, whole dollar amounts, amounts including cents, and with or without dollar signs. To enter amounts in the millions or billions, use m for millions and b for billions (e.g., 250m for 250 million or 1.5b for 1.5 billion). 

 

Security Type   [top]

 

If you are looking for a particular type of securities registration such as non-convertible debt, select one or more type from the Security Type search box. 

 

Form Type   [top]  

 

Select the form type you'd like to include in your search in the Filing Type search box. Select more than one form type by holding down the Ctrl key while clicking additional form types. 

 

Law Firm   [top]

 

If you would like to search for registration statements for which the issuer or underwriter has been represented by a specific law firm, you may select a firm in the Law Firm search box. Select more than one law firm by holding down the Ctrl key while clicking additional firm names.

 

If you are analyzing data by law firm and want to filter out those registration statements that do not contain representing law firm information, check the box: Search only filings with law firm information.  Approximately 70% of the Registrations statements contain representing law firm information.

 

Issuer or Underwriter Representation   [top]

 

In most cases in which we identify a representing law firm, we're also able to identify whether that firm represents the issuer or the underwriter. You have the option of limiting your search to filings that show representation only of an issuer, or only of an underwriter, by making a selection in the Representing dropdown menu.

Filing Date and Effective Date   [top]

 

You may search for registrations by date filed, or you may search for registrations which became effective within a certain time period, or both. In either date field, use the Time Frame or Date Range search option. Click the bubble next to one of these options to switch from one to the other. In the Time Frame search are, select a time frame such as Last 60 days from the drop-down menu. In the Date Range search area, both boxes must contain dates in order for this search functionality to work. Enter dates in the format m/d/yyy. 

 

Submitting a Search   [top]  

 

When you have entered the appropriate search variables for your search, click Search. The search boxes will remain on the screen and the search results will appear below. 

 


 

 Viewing Search Results   [top]

 

Search results are listed by Company, Filing (Security Type), Amount, File Number, Filing Date, Effective Date, and Representing Law Firm. Results will automatically display in reverse chronological order by filing date. 

 

Use the records per page drop-down   to change the number of results displayed on one page. You can view 25, 50, 100, or 500 of your results on one page. You do not need to click Search again to change the number of results per page.

 

To start a new search, enter new search variables where necessary or click the Reset button to return all search boxes to their original settings. When you have entered the appropriate search variables, click Search

 


 

Sorting Search Results   [top]

 

By default, the list of result is automatically sorted by filing date with the most recently filed registrations first. Click Filing Date to display the earliest filed registration statements first. 

 

To sort the list of results by different variables, click any hyperlinked column header such as Company or Amount

 

NOTE: Clicking the name of a company in the results list will not display the registration statement. It will refresh the results list, displaying all registration statements for that company. Similarly, if you click on the hyperlinked name of a representing law firm, it will bring up all the registration statements which were filed under the representation of that firm.


 

Creating a Printable Results Report   [top]

 

Once you've clicked Search and have a result set, you can extract the result list into a printable report. Located below the records per page drop-down is a Printable Report link. By clicking this link, the printable report will extract the items displayed on the current page into a HTML document. To include more items in your printable report, you may increase the number of records per page that are displayed before you create your report.

 

Once you have opened your report, you may convert it to a PDF or print it as is by clicking the PDF or Print links in the upper right-hand corner of the page. To return to the original list of results, click the Close link.

 


 

Creating an Excel Report   [top]

 

Once you've clicked Search and have returned search results, you have the option to generate an Excel report of your search results. Excel Reports include your entire list of search results (up to 2,000 records) and provide a variety of ways by which to sort and display results.

 

To create an Excel report, click Excel Report, located just above the search results; this will download the search results to your computer and prompt you to open the file in MS Excel.

 

If nothing happens when you click Excel Report, then it is possible your Internet browser (such as Internet Explorer or Firefox) is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report or contact us at KMsupport@lexisnexis.com, 866.650.3600.

 



Viewing Registrations Filings   [top]

 

To view a securities registration statement, click the hyperlinked form type under the Filing (Security Type) column. On the next screen you may view the full text by clicking on the desired display type: HTML, PDF, or Word. Use your Internet browser's Back button to return to your list of search results.

 


 

Using Registrations Filings   [top]

 

From the page displaying the full text of a registration statement you may:

  • Email the document

  • View the document in another format (Use the Display drop-down)
  • Add the document to your Document Cart

Emailing Documents   [top]

 

To email a document, you must be in the screen that displays the text of the document. 

 

Click the word Email in the top bar. A new window will appear. Type in the email addresses to which you'd like to send the document, then your own email address. (Your email address will be used only to provide a Reply-To address for the recipient.) Click Email this Document. The entire document will be emailed to the address(es) you have entered. To email multiple documents in a single email, use the Document Cart.

 

Adding to Document Cart   [top]  

 

The document cart allows you to select documents from throughout the website and add them to your cart. Once you are finished searching and collecting documents on Knowledge Mosaic, the document cart will allow you to email or batch print your selection of documents. To add a filing to your document cart, you must be logged in to your personal account. If you access the website without logging in, then your firm has a firm-wide license to Knowledge Mosaic; you may open a personal account at any time at no extra charge by emailing KMsupport@lexisnexis.com or calling us toll-free 866.650.3600.

 

Once you are logged in to your personal account, the document cart tool will be activated. To add registration filings to your document cart, you must first open the full text of the document that you would like to add to your document cart. Once the document has fully loaded, click Add to Document Cart (located in the orange bar above the document). When you have clicked Add to Document Cart a checkbox will appear (to the right of "Add to Document Cart") to let you know the document is now in your cart.

 

Your document cart is accessible from the orange navigation bar at the top of Knowledge Mosaic at any time and allows you to print, email, and add notes to your documents at any time. There is a 100 document maximum number of documents you can hold in your cart at a time. To access help instructions the document cart, click here.



[Return to All Help Table of Contents]



Risk Factors

 

Overview

Searching Risk Factors

    Company, Ticker, or CIK

    Text Search

    State of Incorporation

    State of Headquarters

    SIC Code   

    Risk Factor Category

    Form Type

    Filing Date

Submitting a Search

Viewing Search Results

    Viewing Risk Factor Text

    Viewing All Instances of a Risk Factor

    Viewing All Risk Factors in Corresponding SIC

    Viewing All Risk Factor Statements for a Company

    Viewing Full Text of the SEC Filing

Share Your Search

Save Checked for Redline

Creating a Printable Report

Creating an Excel Report

 


 

Overview   [top]

 

Contents: Risk factor statements as extracted from SEC 10-K filings from 2006 to the present and from registrations and prospectuses since 2000.

Source: SEC EDGAR Filings

Updated: Daily 

 

The Risk Factors database allows precision searching of public company risk factor statements as disclosed in SEC EDGAR filings. Search Risk Factors by risk term category and term, form type, SIC, text, entity, state of incorporation or state of headquarters, and filing date.

 


 

Searching Risk Factors   [top]

 

Search by one of the following search variables or a combination of variables. 

 

Company, Ticker, or CIK   [top]

 

The Company, Ticker, or CIK field allows you to search by Company Name, Ticker, or CIK simply by typing text for any of these filer identifiers in the text box. Suggested matches will appear as you type; these are generated when the characters you enter match the initial letters or numbers of a ticker symbol, CIK, or any word within a company name. So, if you don't know the complete name of a company, enter the part you do know. For example, if you type in PROD, you'll get matches for Sunoco Products Co., Avon Products, Inc., etc. You can then review your suggested matches and make your selection from the list. Or, you may choose to return results for all of the filers that appear in the selected matches dropdown.  .

 

TIP: Multiple suggested matches with the same CIK may appear in the dropdown.  It doesn't matter which of these you select; the results will be the same, since they are mapped to a filer's CIK.  

 

You may include more than one filer in the same search.  After you've made your first selection, repeat the process above.  Semi-colons to divide your filers will automatically be placed between them in the filer text box.

If you don't enter a specific company, your search will return results that match up with the other search variables you select on the search page, regardless of the name of the company on the filing.

 

Text Search   [top]

 

Using our brand new text search technology called Qmax�, we return documents that contain all words in your query and display the strongest matches on top. Our engine supports full Boolean advanced text search, but your input of these operators is completely optional. Initially boosted by relevance, results can also be viewed based on alternate sorting options.

 

Your text search matches will be highlighted in the results.

 

For additional information and examples on entering a text search, click Learn More link located underneath the Text Search box. This document describes relevance boosting and the Boolean, nested, proximity, and wildcard search operators that can be used in the text search box. 

TIP: Use quotation marks around a search string to limit your results to items that contain an exact match. Example: "certificate of account of client securities"

To limit your text search to risk factor's summary only, check the Search Risk Factor Summary Only checkbox below the text box.

 

State of Incorporation   [top]

 

If you know the state in which the filing company is incorporated, select the state in the State of Incorporation drop-down menu. If you do not make a selection, your search will yield results for companies incorporated in any location. 

 

State of Headquarters   [top]

 

If you know the state in which the filing company is headquartered, select the state in the State of Headquarters drop-down menu. If you do not make a selection, your search will yield results for companies headquartered in any location. 

 

SIC Code   [top]

 

Standard Industrial Classification (SIC) codes are 4-digit classification codes assigned by the SEC to every publicly held company. Entering an SIC code or range allows you to limit your search results to one or more industry. To select an SIC code, start typing the code, or a term describing the industry you are interested in (e.g. agricultural) into the SIC Code input box. You will see a list of suggested industries/SICs. Use your mouse to select the SIC code you are interested in. You can also browse codes by clicking on the SIC Codes and A/D Offices hyperlink below the box.

 

To enter a range of SIC codes, type in the first code in the range, a dash (-), and then the last code to be included in the range, with no spaces, e.g. 2000-2300. Then use your mouse to select the range from the dropdown.

 

If you do not enter a code in the SIC code search box, your search will return results regardless of SIC code.

 

Risk Factor Category   [top]

 

Knowledge Mosaic has created a risk term category classification system to allow collocation of risk factor statements based on the type of risk. If you know the Risk Term Category you would like to search, make a selection in the Risk Factor Category scroll-down menu.

 

If you are using the Risk Term Category search function, you will first need to select the risk term category, as once you select a risk term category the page will refresh to include risk terms pertaining to the risk term category you select.

 

Form Type   [top]

 

The Form Type search box allows you to type the name of the form you would like to search, such as 10-KSuggested matches will appear as you type, generating a list of form submission types that correspond to your text. Click to make a selection, or simply finish typing the form type. To search more than one form type, separate form types by semi-colons (not commas or other punctuation).

 

TIP: Click the EDGAR Forms Descriptions link below the Form Type box to see a PDF containing the form names, form descriptions, and technical information about electronically submitting forms. Click the KM Forms Guide link to see a PDF with relevant and concise information on some of the form types that are most common, valuable, or widely known.

 

TIP: To search for all forms that share a root, type an asterisk * after the form. Example: SC* will return all filings that are schedules, such as SC-TO, SC 13D, SC 13G, and so on. 

 

Filing Date   [top]

 

To search by filing date, you may search by the general time period using the Time Frame drop-down menu (this is the default date search method,) or enter dates in the Date Range search boxes. To use the Date Range search boxes, you must first click the bubble next to Date Range and then enter dates in both search boxes. Enter dates in the format m/d/yyyy

 

If you click next to Date Range but do not change the dates, the start date will be 5/26/2000, and the end date will be today's date.

 


 

Submitting a Search   [top]

 

Once you have selected or entered the appropriate search variables, click Search

 

To start a different search, replace existing search variables or click the Reset button to return all search boxes to their default positions.

 


 

Viewing Search Results   [top]

 

Once you've clicked Search, risk factor search results appear below the search boxes.  At the top of the results, the number of results or Records returned will be displayed. Each risk factor record includes the Company Name, SIC, Form Type (or Filing), Filing Date, State of Headquarters and Incorporation, Risk Factor Categories, and Risk Factor Text.

 

To display (or hide) the risk factor text for all records, click the arrow next to Show/Hide Risk Factor Text for all results.

 

Viewing Risk Factor Text   [top]

 

To view the full text of the risk factor, click the hyperlinked Show Risk Factor Text. To close the text of the risk factor click Hide Risk Factor Text. To display (or hide) the risk factor text for all records, click the arrow next to Show/Hide Risk Factor Text for all results.

 

To view the original filing that contained the risk factor, click the hyperlinked filing title such as "S-1" or "10-K" located at the right side of each result.

 

Viewing All Instances of a Risk Factor   [top]

 

To display all instances in which the public company has disclosed a specific risk factor, click the hyperlink Display all instances of this risk factor summary for this company. The page will refresh with all risk factor statements with that particular summary.

 

Viewing All Risk Factors in Corresponding SIC   [top]

 

Clicking the hyperlinked SIC code found within each result entry will refresh the page will all risk factor statements for companies falling under that SIC code.

 

Viewing All Risk Factor Statements for a Company   [top]

 

Each risk factor result will contain a hyperlinked company name for the company who filed the risk factor statement. Clicking the hyperlinked company name will pull up all risk factor statements for that company. 

 

Viewing Full Text of the SEC Filing   [top]

 

Each risk factor result will contain a hyperlinked filing name such as "S-1" or "10-K". Clicking on the hyperlinked filing name will load the full text of the filing in a new window (or tab depending upon the Internet browser you use).

 



Share Your Search
  [top]

 

Once you have returned search results, you may share that search (and the results) with a colleague. Simply click the Share link in the gold tool bar above the results. This will open a new browser window. In the window that appears, enter your information and separate multiple email addresses with commas. A link and a description of your search will be sent to the recipients you've indicated; clicking on that link will open up the set of results you've chosen to share.

 

Note: Only other Knowledge Mosaic subscribers can view search results sent via the Share function.



Save Checked for Redline
 
[top]

 

The Redline Tool is now available on the Risk Factors page, and allows you to quickly compare changes between documents. Returned documents from a Risk Factors search can be added to the Selections area of the Redline Tool by clicking the Save Checked for Redline button above the search results. You�ll be given the option in a pop-up to Go to Redline Tool or to go Back to Results. For more information about Redlining, click here. 

 


 

 

Once you've clicked Search and have returned search results, you have the option to generate an HTML report of your search results. HTML reports are generated in PDF when emailed.

 

The Printable Report button, located just above the search results on the right, generates a report for the records on the page you are currently viewing. To increase the number of results listed in your report, you need to click on the records/page drop-down menu and increase the number of records; this will cause the page to refresh with the number of records per page you have selected.

 

Once the page refreshes with the number of records per page you have selected, click Printable Report. An HTML report will load the items displayed on the current page into an HTML report. From the HTML report you have the option to print or email in PDF.

 

TIP: The greater number of records you have selected for your report, the longer the report will take to load. To load results more quickly, create your report for a smaller number of records per page.

 

To return to the original list of results, click the Close link.

 

Creating an Excel Report   [top]

 

Once you've clicked Search and have returned search results, you have the option to generate an Excel report of your search results. Excel Reports include your entire list of search results and provide a variety of ways by which to sort and display results.

 

To create an Excel report, click Excel Report, located just above the search results; this will download the search results to your computer and prompt you to open the file in MS Excel.

 

If nothing happens when you click Excel Report, then it is possible your Internet browser (such as Internet Explorer or Firefox) is blocking the file from downloading. Make sure your pop-up blocker is turned off for www.knowledgemosaic.com. Contact your IT Department if you are still unable to download a report or contact us at KMsupport@lexisnexis.com, 866.650.3600.



[Return to All Help Table of Contents]



SEC Comment Letters

 

Overview

Searching SEC Comment Letters

    Company Name, Ticker, or CIK

    Text

    Letter Date
    Checkboxes

    Letter Type

    Subject Filing
    Industry

    SIC Code 
    A/D Office  

    Place of Incorporation
   Submitting a Search

Viewing and Sorting Search Results
    Sort by
    Hide Details/Show Details
    Opening Results

    Viewing Company Summary Information

    Related Letters
    Additional Filers
Creating an Excel Report

Viewing Comment Letters

Using Comment Letters

    Emailing Documents

    Adding to Document Cart

 


 

Overview   [top]

 

Contents: SEC staff comment letters and company responses and cover letters, released by the SEC from August 5, 2004 to present

Source: SEC EDGAR Filings

Updated: Daily

 

The SEC staff reviews selected EDGAR filings and sends detailed comments about those filings to the company, usually by letter.  That letter is known as an SEC Comment Letter.  The company often responds by letter (known as the