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

Partial Summary Judgment Against IA & Principal for False and Misleading Marketing of Investment Strategies

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IA Charged with Inadequate Controls to Prevent Insider Trading

Did not address business-specific risks & lacked guidance regarding when trading in securities should be restricted
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Agencies Propose Changes to Modify “Covered Funds” Restrictions of Volcker Rule

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SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund
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OCIE Publishes Observations on Cybersecurity and Resiliency Practices

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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-5447 In the Matter of Marcus Boggs

LR-24744 SEC v. Navellier & Associates, Inc., and Louis Navellier

IA-5446 Delegation of Authority to the General Counsel of the Commission

LR-24739 SEC v. Richard G. Cody, et al.

IA-5444 In the Matter of BPU Investment Management, Inc.

LR-24738 SEC v. Criterion Wealth Management Insurance Services, Inc., et al

LR-24736 SEC v. The Nutmeg Group LLC, et al

IA-5443 In the Matter of Joseph A. Meyer, Jr.

IA-5442 In the Matter of Jay Costa Kelter

IA-5441 In the Matter of Cannell Capital, LLC

Myths and Realities: Modernizing the Proxy Rules
Speech by SEC Commissioner Elad L. Roisman
Added to the IA Act UnwrappedTM Examination Tools Database/2020 Information and to the Plain English Description Tab under Regulatory Database Rule 206(4)-6

IA-5440 In the Matter of Edward E. Matthes

IA-5439 In the Matter of Barton W. Stuck

IA-5438 In the Matter of Patrick L. O'Connor

IA-5437 In the Matter of Jaswant Gill

IA-5436 In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi

Cybersecurity and Resiliency Observations
OCIE examination observations r
elated to cybersecurity and operational resiliency practices taken by market participants
Added to the IA Act UnwrappedTM Examination Tools Database/2020 Information

IA-5366A In the Matter of Leonardo Cornide and Jorge Falcon

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