Clarity and Understanding for the Workplace


Compliance Training CAN be fun!

COMPLIANCE-OPOLY

for Investment Advisers

  • Move around the board landing on Advisers Act Rules
  • Answer Questions related to all aspects of compliance under the Advisers Act
  • Correct answers allow you to be paid Compliance Bucks
  • Purchase Investment Advisory Firms with your Compliance Bucks – others pay you rent!
  • Wrong answers result in Deficiencies
  • Too many Deficiencies get you sent to Enforcement - spend time in Jail with Bernie Madoff!

Compliance-Opoly for Investment Advisers
Score Card

See where additional compliance training may be necessary!

Headline News

SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
Read more...

Update on Review of SEC's 2016 Cyber Intrusion
Read more...

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

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

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-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