Clarity and Understanding for the Workplace

Compliance Training CAN be fun!


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 to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships with Investment Professionals

OCIE's Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers

Reminder: National Compliance Outreach Seminar for IAs & ICs - Thursday April 12th

Three IAs Ordered to Pay $12 Million for Improper Fees


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-4893 In the Matter of Paul Edward "Ed" Lloyd, Jr., CPA

IA-4892 In the Matter of Mark P. French

IA-4891 In the Matter of Frank H. Chiappone, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, and Philip S. Rabinovich

IA-4890 In the Matter of Steven M. Simmons

IA-4889 Proposed Commission Interpretation Regarding Standard of Conduct for Investment  Advisers; Request for Comment on Enhancing Investment Adviser Regulation

IA-4888 Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles

IA-4887 In the Matter of Saving2Retire, LLC and Marian P. Young

IA-4886 In the Matter of Scott Newsholme

IA-4885 In the Matter of Arlington Capital Management, Inc. and Joseph F. LoPresti

LR-24114 SEC v. Amrit J. S. Chahal

IA-4884 In the Matter of Michael S. Moses

Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers
National Exam Program Risk Alert (April 12, 2018)
Added to the IA Act UnwrappedTM Examination Tools Database - 2018 Information

LR-24109 SEC v. Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani

IA-4883 In the Matter of Laura Pendergest-Holt

IA-4882 In the Matter of Troy C. Baldridge

LR-24103 SEC v. Ikenna Ikokwu, et al

IA-4881 In the Matter of Caleb J. Preston

IA-4880 In the Matter of Charles G. Preston

IA-4879 In the Matter of Tobias J. Preston

IA-4878 In the Matter of PNC Investments, LLC

IA-4877 In the Matter of  Geneos Wealth Management, Inc.

IA-4876 In the Matter of Securities America Advisors, Inc.

IA-4875 In the Matter of Clayborne Group, LLC and Dean. A. Heinemann

IA-4874 In the Matter of Joshua D. Mosshart

LR-24094 SEC  v. Michael Scronic

LR-24093 SEC v. Mohammed Ali Rashid

IA-4873 In the Matter of Ajenifuja Investments, LLC

1112 Partners, LLC - Exemptive Request

LR-24089 SEC  v. Kirbyjon Hines Caldwell et al., Shae Yatta Harper

IA-4872 In the Matter of ZPR Investment Management, Inc.

IA-4871 In the Matter of Larry C. Grossman

IA-4870 In the Matter of Howard B. Present

In the Matter of Apollo Management, LP
Added to the IA Act UnwrappedTM Regulatory Database Rule 206(4)-5 NoAction/Exemptive Request Tab

LR-24077 SEC  v. Howard B. Present

LR-24076 SEC v. McKinley Mortgage Co. LLC, et al.

LR-24071 SEC v. Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC

ICI 2018 Mutual Funds and Investment Management Conference
Dalia Blass - Director, Division of Investment Management Keynote Address

Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

Division of Investment Management - Expanded Use of Draft Registration Statement Review Procedures for Business Development Companies  
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

IA-4869 Regulatory Flexibility Agenda