Simplify Compliance. Amplify Confidence.
Gain blue sky compliance with a powerful, all-in-one platform
Blue sky compliance is increasingly complex. Each state has its own set of securities laws.
Filing requirements continue to expand and evolve. Managing it all is a heavy burden.
Any missteps can lead to costly penalties and reputational harm.
Stay ahead of regulatory demands with a solution built to simplify, streamline and
safeguard your blue sky operations — from initial filings to ongoing management and
follow-through — with LexisNexis® Blue Sky Solution™.
Leverage extensive
blue sky expertise
Realize
cost savings
Improve visibility
and reporting
Automate tasks
and expedite filings
LexisNexis Blue Sky Solution combines the power of proven blue sky compliance expertise with
industry-leading technology. Backed by deep regulatory experience, our team of compliance
experts stands ready to help sharpen and strengthen your compliance strategy.
Flexible blue sky compliance support
End-to-end outsourced management of blue sky compliance. This option relieves you of the burden that comes with developing and maintaining a blue sky in-house team.
Outsourcing can improve stability and help ensure business continuity. It can also be instrumental in succession planning. We provide full-service, blue sky compliance services to mutual funds, unit investment trusts (UITs), closed-end funds, transfer agents, third-party administrators and law firms.
Achieve compliance confidence across your operations with Blue Sky Solution
End-to-end blue sky filing management
Our team of blue sky experts brings deep regulatory knowledge and hands-on experience to help you strengthen and streamline your compliance strategy. With a thorough understanding of each state’s evolving requirements, they act as an extension of your team — ready to manage the entire blue sky process from data integration with transfer agents and omnibus providers to the preparation, review and filing of all notice filings for investment companies.
Minimize expenses and control costs
Lower infrastructure, hardware and maintenance costs while improving cost forecasting. The platform captures daily sales data at the fund, state, data provider and social code levels — enabling firms to quickly identify large transactions that may qualify for exemptions. Users can configure automatic exclusions for sales to existing shareholders (SES exemption), helping reduce reportable sales and associated fees. Exemptions are clearly categorized in the ‘Sales Journal’ by type, streamlining analysis and supporting more accurate cost-savings calculations.
Compliance expertise and monitoring
Whether you need guidance interpreting filing requirements, crafting regulator responses or managing compliance during peak periods, our seasoned experts are ready to step in and deliver. They review and correct blue sky data, monitor daily sales activity and flag large transactions — streamlining exemption identification and helping ensure filing accuracy.
Improve visibility and reporting
Gain deeper insight and compliance confidence with improved visibility across your blue sky operations including vendor oversight. Access real-time intelligence on status updates, sales activity, filing deadlines, ongoing monitoring and more.
A licensed, standalone platform designed for internal use. Ideal for organizations with an in-house compliance team as well as service providers managing vendor oversight responsibilities.
This self-serve platform still includes access to our blue sky tech support team, who are available to provide guidance and assistance at any time.
Achieve compliance confidence across your operations with Blue Sky Solution
Minimize expenses and control costs
Lower infrastructure, hardware and maintenance costs while improving cost forecasting. The platform captures daily sales data at the fund, state, data provider and social code levels — enabling firms to quickly identify large transactions that may qualify for exemptions. Users can configure automatic exclusions for sales to existing shareholders (SES exemption), helping reduce reportable sales and associated fees. Exemptions are clearly categorized in the ‘Sales Journal’ by type, streamlining analysis and supporting more accurate cost-savings calculations.
Real-time insights and reporting
Achieve greater insight and compliance confidence with enhanced visibility across your entire blue sky operation, including vendor oversight. Access real-time intelligence on status updates, sales activity, filing deadlines and ongoing monitoring. Stay agile with current project data, powerful bulk editing tools and comprehensive reporting capabilities that support smarter, faster decision-making.
Automated and streamlined workflows
Enhance operational efficiency with intelligent automation, deadline tracking and streamlined exception handling — all powered by a modern, intuitive interface. Our user-friendly design enables quick resolution of sales feed and processing exceptions, while automatically archiving historical changes for easy reference.
Increase insight and gain peace of mind with improved visibility across your end-to end blue sky operations. Automate filings, streamline monitoring and empower your team with Blue Sky Solution.
Blue Sky Solution is the compliance resource of choice for the largest mutual fund companies and third-party administrators in the country.
Industry leading blue sky expertise backed by
innovative blue sky compliance technology
