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

FAQs Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation

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SEC Announces the Formation of Asset Management Advisory Committee

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SEC Charges IAs with Unlawful Proxy Voting of Client Securities

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Cash Solicitation Rule Violations

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SEC Orders IA to Return Nearly $1.5 Million to Clients Harmed by Share Class Selection Disclosure Violations

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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.

FAQs Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Division of Investment Management

Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

Joint Statement on Activities Involving Digital Assets
Statement issued by the Leaders of CFTC, FinCEN, and SEC
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

LR-24643 SEC v. Cetera Advisors, LLC and Cetera Advisor Networks LLC

IA-5403 In the Matter of Albert K. Hu

IA-5402 In the Matter of Saving2Retire, LLC, and Marian P. Young

LR-24640 SEC v. Thomas Conrad, Jr. et al.

IA-5401 In the Matter of Michael Siva
LR-24638 SEC v. Daniel Rivas, et al.

IA-5400 In the Matter of Mark Megalli

IA-5399 In the Matter of Daniel Sholom Frishberg

LR-24633 SEC v. Westport Capital Markets, LLC and Christopher E. McClure

LR-24632 SEC v. Bluepoint Investment Counsel, et al

LR-24829 SEC v. James T. Booth

LR-24828 SEC v. Marcus Beam

LR-24617 SEC v. William M. Apostelos, et al.

LR-24626 SEC  v. Yellowstone Partners, LLC, David H. Hansen, and Cameron G. High

IA-5369 In the Matter of Hefren-Tillotson, Inc.

IA-5368 In the Matter of Joseph B. Bronson

IA-5367 In the Matter of Nicholas Lattanzio

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

Unlawful Proxy Voting of Client Securities:
IA-5375 In the Matter of Three Bridge Wealth Advisors, LLC
IA-5374 In the Matter of Amadeus Wealth Advisors, LLC
Added to the IA Act UnwrappedTM Releases Database and to the Risks/Significant Cases Tab under Regulatory Database Rule 206(4)-6

IA-5371 In the Matter of Cetera Investment Advisers LLC
Added to the IA Act UnwrappedTM Releases Database and to Risks/Significant Cases under Regulatory Database Rule 206(4)-2 Cash Payments for Client Solicitations

Oversight of the SEC: Wall Street’s Cop on the Beat
Testimony Before the U.S. House of Representatives Committee on Financial Services
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information