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 Provides Regulatory Relief & Assistance for Victims of Hurricane Florence
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Advertising and Related Code of Ethics Violations
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SEC Charges Hedge Fund Adviser with Short-and-Distort Scheme
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Statement Regarding Staff Proxy Advisory Letters
DIM withdraws two no-action letters
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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.

LR-24285 SEC v. Hope Advisors, LLC, et al.

LR-24283 SEC v. Jason W. Galanis, et al.

IA-5041 In the Matter of Ophrys, LLC

IA-5040 In the Matter of Joel N. Burstein

Sixth action arising out of enforcement initiative to combat cherry-picking led by the SEC's Los Angeles Regional Office:
LR-24278 SEC v. World Tree Financial, LLC, et al.

IA-5039 In the Matter of Travis A. Branch

IA-5038 In the Matter of Karen Bruton, CPA and Hope Advisors, LLC

Orders vacating bars:
IA-5032 In the Matter of Wing F. Chau
IA-5031 In the Matter of Terry M. Deru
IA-5030 In the Matter of Evan Andrew Zarefsky
IA-5029 In the Matter of Anthony Scolaro
IA-5028 In the Matter of James R. Holdman
IA-5027 In the Matter of Matthew G. Teeple
IA-5026 In the Matter of James E. Putman
IA-5025 In the Matter of Walter J. Clarke
IA-5024 In the Matter of Enrica Cotellessa-Pitz
IA-5023 In the Matter of Paul T. Mannion, Jr. and Andrew S. Reckles
IA-5022 In the Matter of Phillip Dennis Murphy
IA-5021 In the Matter of Karl Motey
IA-5020 In the Matter of Daniel Moshe Naeh
IA-5016 In the Matter of Frank R. Peperno
IA-5015 In the Matter of Matthew Crisp
IA-5014 In the Matter of John J. Bravata and Antonio M. Bravata

IA-5037 In the Matter of Susan E. Walker

IA-5036 In the Matter of Jennifer R. Johnson

IA-5035 In the Matter of Creative Planning, Inc. and Peter A. Mallouk
Added to the IA Act UnwrappedTM Releases Database and to Significant Cases under Regulatory Database Rule 204A-1 Code of Ethics & Rule 206(4)-1 Advertisements

LR-24270 SEC v. Thomas J. Caufield

IA-5034 In the Matter of Heidi Wivolin

IA-5033 In the Matter of John L. Gathright, Jr.

Orders vacating bars from association:
IA-5019 In the Matter of Douglas F. Whitman
IA-5018 In the Matter of I. Joseph Massoud
IA-5017 In the Matter of Brian Scott Zwerner
IA-5013 In the Matter of Matthew Adam Rothman
IA-5012 In the Matter of Frances M. Guggino
IA-5011 In the Matter of Edward L. Maggiacomo, Jr.

IA-5010 In the Matter of Cecil Gregory Earls and Thomas R. Caggiano

IA-5009 In the Matter of Capital Analysts, LLC

IA-5008 In the Matter of Holthouse Carlin & Van Trigt LLP

IA-5007 In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC

IA-5006 In the Matter of Harbour Investments, Inc.

IA-5005 In the Matter of Brett Thomas Graham

Statement Regarding Staff Proxy Advisory Letters
IM Information Update IM-INFO-2018-02
Division of Investment Management has withdrawn two no-action letters, effective September 13, 2018.
IM-INFO-2018-02 has been added to the IA Act UnwrappedTM Examination Tools Database/2018 Information, linked to the two letters in the No-Action Letter Database and referenced under Regulatory Database Rule 206(4)-6

Evolution Revolution 2018
Joint publication by IAA & NRS

IA-5004 In the Matter of Crypto Asset Management, LP and Timothy Enneking

IA-5003 In the Matter of Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson and Eugene Long
Added to the IA Act UnwrappedTM Releases Database; the term "rolling" added to the Glossary & Definitions Database

IA-5002 In the Matter of BB&T Securities, LLC

IA-5001 In the Matter of VSS Fund Management LLC and Jeffrey T. Stevenson

IA-5000 In the Matter of Mark R. Graham, Blue Capital Management, Inc., and Blue Alternative Asset Management, L.L.C.

IA-4999 In the Matter of Massachusetts Financial Services Company

LR-24253 SEC v. Grenda Group, LLC, et al.

Errors in Quantitative Investment Models:
IA-4996 In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., et al
IA-4997 In the Matter of Bradley J. Beman
IA-4998 In the Matter of Kevin A. Giles

IA-4995 In the Matter of First Western Advisors

IA-4994 Delegation of Authority to General Counsel of the Commission, Final Rule

IA-4993 In re: Pending Administrative Proceedings

IA-4992 In the Matter of Jeffrey Scott Davis

IA-4991 In the Matter of Aria Partners GP, LLC
Added to the IA Act UnwrappedTM Risks/Significant Cases under Regulatory Database Rules 206(4)-2, 206(4)-7 & 206(4)-8

Investor Roundtables Regarding Standards of Contact for Investment Professionals Rulemaking
Statement by SEC Chairman Jay Clayton
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information