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

SEC Ratifies Appointment of Administrative Law Judges

Cellupica Named Deputy Director of the Division of Investment Management

Enforcement Division Issues Report on Priorities and FY 2017 Results

Senate Banking Committee Approves New SEC Commissioners


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.

ICI Securities Law Developments Conference - Keynote Address 
Dalia Blass Director, Division of Investment Management
Added to the IA Act UnrwappedTM Examination Tools Database - 2017 Information

IA-4824 In the Matter of Institutional Investor Advisers, Inc.

IA-4823 In the Matter of Hortner Investment Management, LLC

IA-4822 In the Matter of Ameriprise Financial Services, Inc.

LR-24003 SEC v. James C. Tao and Donna Boyd (f/k/a Donna Chen)

IA-4821 In the Matter of William P. Carlson, Jr.

IA-4820 In the Matter of Paritosh Gupta, Adi Capital Management LLC, Nehal Chopra, and Ratan Capital Management, LP

IA-4819 In the Matter of Brahman Capital Corp.

IA-4818 In the Matter of Paul Edward "Ed" Lloyd, Jr., CPA

IA-4817 In the Matter of Paul Leon White, II

IA-4816 In re: Pending Administrative Proceedings
SEC Ratifies Appointment of Administrative Law Judges

IA-4815 In the Matter of Lynn Tilton, Patriarch PArtners, LLC, et al

IA-4814 In the Matter of ZPR Investment Management Inc.

IA-4813 In the Matter of Hartford Investment Financial Services, LLC, et al

IA-4812 In the Matter of Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV

IA-4811 In the Matter of Lawrence E. Penn, III

FY 2017 Enforcement Results
Enforcement Division Report on Priorities and FY 2017 Results
Added to the IA Act UnwrappedTM Examination Tools Database

IA-4810 In the Matter of Stephens Inc.

IA-4804 In the Matter of Donald F. Lathen, Jr., Eden Arc Capital Management, LLC, et al

LR-23984 SEC v. Jay Costa Kelter

IA-4809 In the Matter of Patric Ken Baccam

IA-4808 In the Matter of Paul Edward "Ed" Lloyd, Jr. CPA

IA-4807 In the Matter of Paul H. Ellison

IA-4806 In the Matter of James P. Kolf

IA-4805 In the Matter of Tamer F. Moumen

IA-4803 In the Matter of UBS Financial Services

IA-4802 In the Matter of Kenneth P. Krueger

IA-4801 In the Matter of Canterbury Consulting, Inc.

IA-4800 In the Matter of Augustine Capital Management, LLC, John T. Porter and Thomas F. Duszynski, CPA

Securities Industry and Financial Markets Association (SIFMA)
No-Action Relief under Advisers Act Sec. 202(a)(11)
Temporary No-Action Relief for BDs Receiving Payments for Research from Investment Managers Subject to MiFID II
Added to the IA Act UnwrappedTM No-Action Letters Database

Investment Company Institute
No-Action Relief under Advisers Act Sec. 206
Request for No-Action Relief for Advisers to Aggregate Client Orders
Added to the IA Act UnwrappedTM No-Action Letters Database

IA-4799 In the Matter of Brian J. Keenan

IA-4798 In the Matter of Kevin J. Amell

IA-4797 Stephens Inc.
Added to the IA Act UnwrappedTM Releases Database and to Regulatory Database Rule 206(4)-5 Pay to Play - No-Action/Exemptive Order Tab

LR-23970 SEC v. John H. Rogicki

IA-4796 In the Matter of Brandon P. Long

IA-4795 In the Matter of Jeffrey S. Preston

IA-4794 In the Matter of Paul Edward "Ed" Lloyd, Jr., CPA

IA-4793 In the Matter of Mark Megalli

IA-4791 FAST Act Modernization and Simplification of Regulation S-K
Proposing Release added to the IA Act UnwrappedTM Releases Database
Proposed revisions reflected in IA Act UnwrappedTM Regulatory Database Rule 0-6