Clarity and Understanding for the Workplace

Brightline Solutions™

Brightline Solutions™ offers a clear, clean, easily-navigable approach to meet daily compliance needs within the financial services industry.

Investment advisers are constantly on the lookout for new solutions to tackle the multitude of challenges, questions and concerns that Compliance Departments face on a daily basis.

Brightline Solutions™ has taken a fresh approach to meet these daily challenges by putting all the pieces of the puzzle together in an easily-navigable format, presenting all the ideas, references, and backup material in one place. As you navigate between rules, releases, guidance, no-action letters, and enforcement cases, along with risks, testing and disclosure requirements – all in one place – a much clearer picture emerges. These puzzle pieces come together to offer you Brightline Solutions™ relational regulatory database - the IA Act Unwrapped™ – which address your daily, weekly, monthly and annual compliance concerns.

The Brightline Solutions™ Approach

A "bright-line rule" is a clearly defined rule or standard, leaving little room for interpretation in an effort to produce predictable and consistent results.

Brightline Solutions™ uses this same predictable, consistent approach as we create the ideal products for the financial services industry. We clearly align research, archiving, data-mapping, programming and design, alongside an unparalleled standard of excellence, to offer products that you can easily use to enhance the clarity and understanding of your daily tasks. We have created products unlike any ever seen in the industry, and have elevated compliance to a new level of sophistication.

Headline News

OCIE Announces 2020 Examination Priorities

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SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules

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SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies
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New Frequently Asked Questions on Form CRS
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SEC Revokes Registration of Adviser Engaged in $60 Million Fraud
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Updates

Brightline Solutions updates IA Act UnwrappedTM on a daily basis. Recent updates are listed below. Click HERE for a more detailed summary of the information.

IA-5435 In the Matter of John Thomas Capital Management Group LLC and George R. Jarkesy Jr.

IA-5434 In the Matter of Inter-American Development Bank

IA-5433 In the Matter of Mark J. Moskowitz

IA-5432 In the Matter of Lester W. Burroughs

LR-24714 SEC v. Michael B. Rothenberg

Frequently Asked Questions on Regulation Best Interest
Added to the IA Act UnwrappedTM Examination Tools Database/2020 Information, and linked to the term "Regulation Best Interest" in the Glossary & Definitions Database

IA-5431 In the Matter of Michael Mindlin

IA-5430 In the Matter of Patrick L. O'Connor

IA-5429 In the Matter of J.P. Morgan Securities LLC

IA-5428 Adjustments to Civil Monetary Penalty Amounts

IA-5427 In the Matter of Bradley C. Mascho

LR-24710 SEC v. ARO Equity, LCC et al

OCIE 2020 National Examination Priorities
Publication has been added to the IA Act UnwrappedTM Examination Tools Database/2020 Information

LR-24709 SEC v. Kelter

IA-5425 In the Matter of Randall S. Goulding

IA-5424 In the Matter of Stephen Condon Peters

IA-5423 In the Matter of Christopher S. Laws

IA-5422 Amendments to Rule 2-01, Qualification of Accountants
Proposing Release has been added to the IA Act UnwrappedTM Releases Database

IA-5421 In the Matter of Bill Tsai

IA-5420 Inter-American Development Bank; Notice of Application

IA-5419 In the Matter of Karen Bruton and Hope Advisors, LLC

IA-5418 In the Matter of Tim Leissner

IA-5417 In the Matter of Randall S. Goulding

IA-5416 In the Matter of Kornitzer Capital Management, Inc., and John C. Kornitzer

IA-5415 In the Matter of Ronald J. Roach

IA-5414
In the Matter of International Investment Group, LLC

Robert Van Grover Esq., Seward & Kissel LLP, No-action letter
Added to the IA Act UnwrappedTM Regulatory Database Rule 206(4)-2: Custody No-Action Letter Tab

LR-24681 SEC v. Lester Burroughs

IA-5413 Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers’ Transactions in Certain Leveraged/Inverse Investment Vehicles
Proposing Release - Added to the  IA Act UnwrappedTM Releases Database

Frequently Asked Questions on Form CRS
Added to the IA Act UnwrappedTM Regulatory Database, Rule 204-5: Delivery of Form CRS