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

Portfolio Manager Charged with Mispricing Fund Investments



SEC Charges Fund Adviser and Principal for Fraudulently Overvaluing Assets
Overvaluing allowed firm to collect inflated fees

SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments

Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule



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-5305 In the Matter of Account Management, LLC, Christopher de Roetth and Peter de Rotth

IA-5304 In the Matter of Henry J. Wieniewitz, III

IA-5303 In the Matter of Swapnil Rege

IA-5296 Release Intentionally Omitted by SEC

LR-24539 SEC v. Paul Alar and West Mountain, LLC

IA-5302 In the Matter of Salus, LP et al.

LR-24533 SEC  v. Richard Vu Nguyen, et al.

Staff Statement on Opportunity Zones: Federal and State Securities Laws Considerations  
SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments 
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

IA-5301 In the Matter of Hana Woosuk Byum

IA-5300 In the Matter of The Robare Group, Ltd., Mark L. Robare, and Jack L. Jones, Jr.

IA-5299 In the Matter of Kwen Y. Chun

IA-5298 In the Matter of Jeffrey Gainer

IA-5297 In the Matter of Rosalind Herman

IA-5295 In the Matter of Kimm C. Hannan

IA-5294 In the Matter of Michael Szafranski

IA-5290 In the Matter of Moshe Marc Cohen

Regulation Best Interest and the Investment Adviser Fiduciary Duty - Two Strong Standards that Protect and Provide Choice for Main Street Investors
Speech by Chairman Jay Clayton, Boston, Massachusetts (July 8, 2019)
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information and linked to the Plain English Description Tab under Regulatory Database rule 203-1 and new rule 204-5