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 to Discuss Disclosure at Open Meeting
Will Consider Interpretive Release on Cybersecurity Disclosure
Read more...

SEC Opens Registration for April 12th National Compliance Outreach Seminar for ICs & IAs
Read more...

SEC Launches Share Class Selection Disclosure Initiative
Encourages Self-Reporting and the Prompt Return of Funds to Investors
Read more...

OCIE 2018 National Exam Program Priorities
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.

LR-24050 SEC v. Commonwealth Advisors, Inc. and Walter A. Morales

LR-24049 SEC v. Southridge Capital Management LLC, et al

2018 Compliance Outreach Program National Seminar for IA & IC CCOs
Registration for the Seminar is open but in-person attendance is limited to 500; the April 12th Program will also be webcast live on the SEC's website
The Agenda has been posted in the IA Act UnwrappedTM Examination Tools Database/2018 Information

Share Class Selection Disclosure Initiative
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

IA-4856 In the Matter of Thomas J. Buck

IA-4855 In the Matter of Victor M. Dandridge, III

OCIE 2018 National Exam Program Priorities
Added to the IA Act UnwrappedTM Examination Tools Database - 2018 Information

IA-4854 In the Matter of Banc One Investment Advisors Corporation and Mark A. Beeson

IA-4853 In the Matter of Michael S. Moses

IA-4852 In the Matter of Wedbush Securities, Inc.

LR-24038 SEC  v. Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC

LR-24037 SEC v. James S. Polese, et al

IA-4851 In the Matter of Mohlman Asset Management, LLC and Louis G. Mohlman, Jr.

IA-4850 Janney Montgomery Scott LLC; Notice of Application for Exemptive Order
Release added to the IA Act UnwrappedTM Releases Database, and the term "Discretion" added to the Glossary & Definitions Database

IA-4849 Notice of Intent to Cancel Certain IA Registrations
IAs listed have not filed Form ADV amendments as required by Rule 204-1, or have indicated that they are no longer eligible to remain SEC-registered but have not filed Form ADV-W.

Private Funds Statistics (2017 Q2)  
Added to the IA Act UnwrappedTM Examination Tools Database - 2018 Information, and to the Plain English Description Tab under Regulatory Database Rule 204(b)-1

IA-4848 In the Matter of AmericaFirst Capital Management, LLC, Rick A. Gonsalves, and Robert L. Clark

LR-24029 SEC v. Daniel H. Glick, et al

IA-4847 In the Matter of Gemini Fund Services, LLC