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 Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure

Update on Review of SEC's 2016 Cyber Intrusion

SEC Provides Regulatory Relief and Assistance for Hurricane Victims
IAs in affected areas receive Form ADV filing & written disclosure statement relief

OCIE “On Track to Deliver a 30% Increase” in IA Exams
15% of All IAs to be Examined This Fiscal Year


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-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

IA-4792 In the Matter of Sam Sadeghi

IA-4790  In the Matter of Danny S. Hood

IA-4789 Semi-Annual Regulatory Flexibility Agenda

IA-4788 In the Matter of Paul Edward "Ed" Lloyd, Jr., CPA

IA-4787 In the Matter of John Austin Gibson, Jr.

IA-4786 In the Matter of GL Capital Partners, LLC and GL Investment Services, LLC

IA-4785 In the Matter of William D. Bucci

LR-23961 SEC v. Richard G. Cody

IA-4784 In the Matter of Edward D. Jones & Co., L.P. - Exemptive Order

LR-23959 SEC v. Tweed Financial Services, Inc. et al

IA-4783 In the Matter of Paul Leon White, II

IA-4782 In the Matter of Jeffrey Timothy Kluge

IA-4781 In the Matter of Perry H. Beaumont

IA-4780 In the Matter of SIX Financial Information USA, Inc.

LR-23951 SEC  v. Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO LLC

Information Regarding Regulatory Relief for Hurricane Victims
Added to the IA Act UnwrappedTM Regulatory Database - Rules 204-1 and 204-3 Disclosure & Recordkeeping Tabs

ID-1182 In the Matter of Lynn Tilton; Patriarch Partners, LLC. et al

IA-4779 In the Matter of Avaneesh Krishnamoorthy

Testimony on Oversight of the SEC  
SEC Chairman Jay Clayton - Before the Senate Committee on Banking, Housing and Urban Affairs
Added to the IA Act UnwrappedTM Examination Tools Database - 2017 Information