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Securities Mosaic Search Tips

The Basics

About Your Subscription

Your annual subscription covers all expenses associated with the use of the website, including the print, email, and download utilities. For more information on license restrictions please see your subscription agreement or, click Legal at the bottom of any page of the website.

Browser

We recommend using Internet Explorer as your browser when using Securities Mosaic.

Pop-ups

If you experience difficulties when opening documents or clicking on links throughout the website, please check your internet security settings. There are a few instances in which clicking a link will open a new window; a pop-up blocker may prevent the window from opening.

Logging In

To login to Securities Mosaic go to . If you have a personal login, click the Login or Personal Access button in the upper left corner of the screen. If your organization has IP authentication, click the Firm Access button, allowing bypass of the login prompt.

Training and Tech Support

The Knowledge Mosaic staff offers free training, technical support, and research assistance. Email support@ or call toll-free 1.866.650.3600. To speak to us directly, please call Monday through Friday 8:00 a.m.–5:00 p.m. PST. For assistance outside of business hours, our email support is staffed evenings and weekends.

Website Standards

Website Navigation

A gold navigation bar heads every page other than the home page. Mousing over the different content area titles in the bar produces a menu, providing the ability to jump to any other page of the website.

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Quickfind

The gold navigation bar offers a Quickfind drop-down menu with an alphabetical listing of all pages on the website and access to a detailed site index. The site index is keyword searchable.

Get SEC Release and Get Filings

Enter the exact release number of any type of SEC release in the Get SEC Release box and click the right arrow to bring up the text of that release. Similarly, enter any public company’s ticker symbol in the Get Filings box to bring up a list of all that company’s filings in the EDGAR database.

Help

The Help link appears in the gold navigation bar on every page other than the home page and is specific to the information on each page. It provides information on such topics as searching, storing, viewing, and printing documents.

Data Details

The comprehensive data on Securities Mosaic is derived from a variety of sources. The Data Details link in the upper right corner of most pages contains details such as data currency, the source, and other pertinent information, specific to each page of the website.

Sorting Results throughout the Website

Many of the column headers appearing on the search results pages provide the option to sort. If a column header is underlined, clicking that header will sort the search results by that attribute.

Changing the Number of Records Displayed

Use the records per page dropdown to change the number of results displayed on one page.  You can view 10, 25, 50, 100, 500, 1000, or 2000 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

Once you have a result set, you can extract the result list into a printable report. Located below the records per page dropdown 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.

Control Key

Most scrollable menus throughout the website provide the option to choose multiple menu items by holding down the control key while clicking on the menu items.

Disclosure

All SEC Filings

Use the comprehensive All SEC Filings page to analyze and research public companies and extract precedence language.

Text Searching

The text search box supports Boolean, Proximity, and Nested searching. For examples of each, click the Advanced Search Help link underneath the text search box.

|Boolean |

|OR between search terms expands your search by locating instances where either of the entered search terms appears.  Example: equity or security |

|AND between search terms limits your search by locating instances where both of the entered search terms appear.  Example: commissioner and rulemaking |

|NOT between search terms limits your search by locating instances where the first search term appears without the second search term.  Example: |

|violations not fraud |

| |

|Proximity |

|NEAR/* defines proximity search parameters. This will find two search terms that are within *words of each other. Example: executive near/10 compensation|

|will locate all cases in which executive appears within 10 words of compensation. |

| |

|Nested |

|Use parentheses to order Boolean operators within a single search; commands inside parentheses are executed first. Example: (equity or security) and unit|

|will return results of documents with either both equity and unit, or security and unit. |

Viewing Filings

Once on the filings search results page, notice the HTML, Text, RTF, PDF, and Excel display type options to the right of each listed filing. Click the desired display type to open the filing instantly; right clicking any of the display type links provides the option to open the filing in a new window. This allows you to open multiple filings at one time. When opening the filing in HTML you will find a menu at upper right to change the display type to any of the formats.

Open the filing in HTML to view text search terms highlighted in red and/or to view individual sections and exhibits. When the filing is opened in HTML the upper left hand corner will display the following buttons:

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These buttons navigate through the text search retrieving each word match. When the text search has taken you through all text matches a window will pop-up telling you “No further hits are available.”

Exhibits Searching on the All SEC Filings Page

To search for text within a specific exhibit or section start on the All SEC Filings page. Enter the desired search parameters. Using the Search Sections/Exhibits drop-down menu, select the desired exhibit in which to search within. Once you have entered your search terms, click Search. From the results page you will need to open the filing in HTML to view both your text search and to view individual sections and exhibits. Select a filing to open and click the HTML link. In the gray bar at the top of the filing, use the “Jump to” dropdown to take you right to a specific section of the filing. You can also view – or create a custom documents from – one or more individual sections of the filing by clicking the View Select Sections link.

|Viewing and Printing Filings Sections and Exhibits |

|In addition to text and parameter searching within the sections and exhibits, Securities Mosaic also provides the ability to view and print individual |

|filing sections and exhibits. To view and print individual exhibits and sections: |

|Start on SEC Filings page. For this example enter the text search: |

|employment agreement near/50 transferred employee |

|In the Search Sections/Exhibits box below, select Exhibit 10: Material Contracts and click Search. |

|From the results page, select a filing by clicking the HTML link. |

|When the filing is open in HTML a link titled View Select Sections appears at the top of the screen. Clicking on View Select Sections opens an outline |

|of the filing’s exhibits and sections in a new window. |

|Select the checkbox next to Exhibit 10, and then click View Checked. |

|Once the text of the exhibit is displayed, the option to email, add to your document cart, or view in PDF is provided. |

Stored Searches, Watchlist, and Document Cart

There are three personalized features on the Securities Mosaic website: the Watchlist, Stored Searches, and the Document Cart. To utilize these features, log in to your personal account. If your organization has IP Authentication you will need a personal account to use these features; a personal account is included in the firm-wide (IP Authenticated) license free of charge. Call or email Knowledge Mosaic, 1.866.650.3600, support@, to create a personal account.

|Stored Searches |

|The Stored Search feature saves time by providing the option to save filings searches for future use. Use your personal login account to store searches.|

|To use the stored search feature, begin on the SEC Filings page and enter the specific search terms you wish to store. For this example enter the text |

|search risk factors near/100 section 404. |

|At the top of the page underneath the Stored Searches box click Save. |

|When directed to the Save Search page enter a search name, for this example Section 404 Risk Factors, and click save. |

|To access this search in the future, start on the SEC Filings page by clicking the stored searches dropdown menu at upper left. |

|When the menu drops down click on the desired search title; this refreshes the screen with the specified search’s parameters. |

|Click the search button to view the results. |

|Adding a Search to Your Watchlist |

|The Watchlist feature provides real-time notification of SEC filings selected by parameters you set. Every time a there is a new filing that matches |

|these parameters, you will be notified by email. Use your personal login account to create and edit your Watchlist. The Watchlist, the first selection |

|in the Quickfind dropdown, located at the top of every page of the website, provides access to view and revise your personal Watchlist. There is also a |

|Watchlist link on the SEC Filings page. |

| |

|On the Securities Mosaic home page, , click Login or Personalized Access button and login with your new user information; make |

|sure to check the box for Remember my User Name and Password. This information will only be saved on your computer. |

|Once logged in click All SEC Filings. |

|At the top of the All SEC Filings page you will notice a link titled SEC Watchlist; click the link. |

|The SEC Watchlist page allows you to view searches currently on your Watchlist. To set parameters for a new search, click Add New Search to Watchlist. |

|After naming your search, you may now select one or more parameters |

|To use the Company text box, enter the company you wish to add (by Ticker, Name or CIK) and click Select. The area will expand with possible matches. |

|After you make your selection, click Add Checked. |

|To search for filings by SIC code instead, enter the code or range of codes in the input box next to Industry. |

|To search for filings by a specific text string, enter a keyword or words into the text box. For details on using Boolean and proximity operators, click|

|Advanced Search Help below the text box. |

|If you would like to receive alerts only for certain forms, click Select Form Types or Groups. The area will expand containing check boxes for all the |

|SEC Forms, individually or by Form Group. Once you have made your selection, click Add Checked. |

|To begin receiving notifications for this search, change the Alert Status to Active, and click Add This Search. |

|Document Cart |

|The Document Cart allows you to select up to 25 documents from throughout the website and add them to your "cart". At any time, you may access the |

|document cart to email or batch print your selection of documents. |

|From the screen displaying the text of any document, click the Add to Document Cart link at the right of the rust-colored bar at the top of the |

|document. |

|To view or use the items currently in your cart, click the Document Cart link at the right of the navigation bar at the top of any page on the site. |

|To view or print multiple items, select the checkboxes in the Create PDF column next to the desired items. Then click the View Selected button at the |

|bottom of the column. This will open your items in a single document in a new window. Each item is separated with a cover page including the metadata |

|for that item. From here you may save, print, or email the entire document. |

|To email one or more items, select the checkboxes in the Email column next to the desired items. Then click the Email Selected button at the bottom of |

|the column. After you specify your recipients, an email will be sent with individual links to each of the documents you have selected. |

Exhibits Search

Use the Exhibits Search page for the most targeted search results. This unique search page allows specific and powerful exhibits searching.

|Searching the Exhibits Page |

|For this example we will locate director compensation agreements. |

|In the Exhibit Types menu select (10) Material Contracts. |

|Enter director compensation in the Exhibit Label Search box. |

|Click the Form Type drop-down and select 10-K, next click Search. |

|The results display offers links to both the full text of the filing and to the individual exhibit. |

Searching Other Filings

For more in-depth searching capabilities on specific types of filings, try some of our other Disclosure search pages such as Registrations Search, Insider Search, and 8-K Item Search.

SM Item Extractor

The SM Item Extractor database allows precise searching within the text of SEC EDGAR Filing items, and a unique results feature that enables document creation for multiple items across filings.

|Searching and Creating Custom Documents on SM Item Extractor |

|For this example we will locate Legal Proceedings items in 10-Ks filed by General Electric. |

|In the Items menu select Legal Proceedings. |

|Once the Form Type box has populated, select 10-K. |

|In the Entity field, next to the Ticker selection, enter General Electric’s ticker symbol GE. Click Search. |

|To view individual items, click the hyperlinked Item title, Legal Proceedings. |

|To view all these Legal Proceedings items filed by GE in a single document, click the Select All button above or below the results, then click the View |

|Checked button. This will open a new window containing all the items from the results. From here you may Email, Add to Document Cart, or view your |

|document in PDF. A table of contents at the top of the document helps you easily navigate to and between each item. |

Law Firm Relationships

The Law Firm Relationships search page allows you to identify clients of particular law firms or representing law firms of particular clients.

|Searching Law Firm Relationships |

|For this example we will locate company filers in Houston represented by the law firm Adams & Reese in the last 3 years. |

|In the Law Firms menu select Adams & Reese. |

|In the City input box type Houston. |

|In the Date field, select Time Frame: Last 3 Years. Then click Search. |

|Results are grouped by company-law firm relationship. To view results with each related filing listed separately, click the radio button next to Display|

|by Filing. |

|To view those filings, click View All Company Filings from the Company display, or click the name of the form from the Filing Display. |

Guidance

SEC Comment Letters

A valuable source of disclosure and compliance information, the comment letters page provides both comments and response letters electronically released by the SEC, including links to related filings.

|Searching SEC Comment Letters |

|For this example, we will take a look at all comment letters related to General Electric. |

|In the Entity box, using the default dropdown selection of Company Name enter General Electric and click Search. |

|Once the results have returned, click Comment or Response to view the text of the letter, or click Get Filings to view all SEC Filings available for |

|that company. |

SEC & PCAOB Staff Guidance

Aggregating a variety of SEC & PCAOB staff guidance resources into one flexible database, this page provides the ability to research securities topics from a variety of angles.

|Searching SEC & PCAOB Staff Guidance |

|Search SEC FAQs, telephone interpretations, no-action letters, and other guidance provided by the SEC, plus several types of guidance issued by the |

|PCAOB. |

|Predefined categories produce quick results; advanced text search allows specific searching. |

|For this example, enter the text search broker-dealer and click search. |

|This returns over 500 results from all guidance categories. |

|To limit our search, select No Action Letters in the guidance type box. Note: Securities Mosaic does not have every no-action letter, just those the SEC|

|posts electronically. |

Law Firm Memos

Use this page to obtain expert legal analysis on current SEC related topics.

|Searching the Law Firm Memos |

|Search law firm memos by law firm or by predefined topic. (US firms listed at top and Canadian below). |

|You may also search the summary of each memo by keyword or words. |

Regulation

Securities Laws, SEC Regulations, and PCAOB Rules & Standards

Changes are not made until law or regulation effective date. Both the laws, regulations, and rules & standards allow for custom document creation selection providing the capability to compile sections of interest into one document.

|Building Custom Documents in the Laws, Regulations, and Rules & Standards Areas |

|To create a custom document containing US Code sections, public laws, CFR, or rules & standards of your choice, start on any of the three pages listed |

|above. |

|For this example, enter the text auditor independence into the text search box. Click Search. |

|On the results page, notice the US Code sections, Public Laws, CFR or rules & standards that contain the text string. Each section has a check box. |

|Check the desired sections and click View Checked. |

|The page will reload with your new custom document. The top of this page provides the option to, email or add your document to the Document Cart. |

Regulatory History

From the text of any CFR section, click the View Complete History link to see comprehensive information including amendment dates and links to proposed and final rules, cross-referenced to the federal register.

Public Laws

Full text of the public laws is available in PDF on the Securities Laws page. Click the Amendments link next to the title of a public law to see what sections of the Federal Securities Acts were affected by the law.

SEC Regulatory Releases and PCAOB Regulatory Releases

Public notices of SEC and PCAOB rulemaking activity.

|Search PCAOB Regulatory Releases For: |

|Board Statements |

|Briefing Papers |

|Concept Releases |

|Final Rules |

|Forms 19b-4 |

|Policy Statements |

|Proposed Rules |

|Transcripts |

|SEC Notices & Orders |

|Search SEC Regulatory Releases For: |

|Commission Notices |

|Concept Releases |

|Exemptive Orders |

|Final Rules |

|IAA Notices |

|ICA Deregistrations |

|ICA Notices |

|Interpretations |

|Policy Statements |

|Proposed Rules |

|Special Studies |

|Staff Accounting Bulletins |

|Staff Legal Bulletins |

| |

|Sample Search |

|For this example, we are searching for all final and proposed rules that reference Sarbanes-Oxley. This search may be executed on either the SEC or |

|PCAOB Regulatory Releases search page. |

|In the action type menu, select Final Rule and holding the control key click Proposed Rule (make sure the all action types item isn’t still selected). |

|Enter the text search Sarbanes Oxley |

|This returns over 100 results with titles linked to the full text of the release. Proposed rules provide links to all submitted comments. |

|The ability to text search within only the summary and/or the comments is provided. |

SEC Enforcement Actions

Public notices of SEC enforcement activity.

|Search Enforcement Actions For: |

|Administrative Proceedings |

|ALJ Decisions & Orders |

|Briefs |

|Commission Opinions & Orders |

|Litigation Releases |

|Reports of Investigation |

|Trading Suspensions |

| |

|Sample Search |

|For this example, we are searching for all Accounting and Auditing Enforcement Releases pertaining to insider trading. |

|In the Acct Release Number box enter aae. |

|Enter insider trad* in the text search box and click search (the asterisk will return all words with the prefix of trad—such as trade, or trading). |

|This search returns over 60 results with titles hyperlinked to the full text PDF document. |

SROs

FINRA & NYSE Regulatory Materials

Browse FINRA or NYSE manuals by clicking the View Manual hyperlinks found to the right of the manual listings on the FINRA & NYSE Regulatory Materials search page.

You can also search all FINRA & NYSE Regulatory Materials for a specific word or string of words, by date range, or by document number.

|Searching FINRA & NYSE Regulatory Materials: |

|Enter the text string you would like to search for in the Text Search box. Learn more about using Boolean and proximity operators in your search by |

|clicking the Advanced Search Help link beneath the text search box. |

|Select the materials you would like to search by clicking the checkbox to the left of each set of materials. You must select at least one set of |

|materials. |

|Narrow your search to specific dates by specifying a time frame or date range in the Date field. |

|If you know the Document Number you are looking for, enter it in the Document Number field. |

|After entering one or more of the search parameters listed above, click Search. |

|Results will be listed in reverse chronological order below the search area. Click on the hyperlinked Document Title to see the text of the document. |

|You can also sort by SRO or Date by clicking on the underlined column headings. |

SRO Rulemaking

The SRO Rulemaking database comprises thousands of rulemaking documents pertaining to US self-regulating organizations. It includes proposed rule changes, approved rule changes, and registration actions from approximately 40 exchanges. Search these releases by exchange, action type, file, release or docket number, date, or by key words or phrases.

News

SEC News Digest

Search over 10,000 SEC Daily News Digest entries concerning agency news, enforcement proceedings, and regulatory releases.

|Searching the SEC News Digest |

|The SEC News Digest allows searching of categories such as Enforcement Proceedings and Self-Regulatory Organizations. |

|For this example, select Enforcement Proceedings in the categories menu and enter the text search WorldCom. Click Search. |

|View the text of that section from the results page, or click the date link for full text version of that day’s digest with easy email and print |

|capabilities. |

SEC News and PCAOB News

|Search SEC News For: |

|Press Releases |

|Speeches |

|Testimony |

|Narrow results by the Chairman, Commissioner or Staff Member who gave the speech or testimony. |

|Search PCAOB News For: |

|Events |

|News Releases |

|View upcoming events by checking the box below Action Type. |

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3450 16th Ave W ● Suite 301 ● Seattle, WA 98119 ● toll-free 866.650.3600 ● info@

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