Clarity and Understanding for the Workplace

IA Act Unwrapped™ - Level 1

Stay current with daily developments from the SEC’s Division of Investment Management, OCIE, and Enforcement staff with links to Releases, speeches and information related specifically to investment advisers. Brightline Solutions™ sorts through all of the data released by the SEC on a daily basis and categorizes the information for ease-of-use. This saves you time and money and keeps you current with all new developments, offered in a single, easy-to-access, relational database set up in a matrix form, which is updated every time the SEC issues new Releases or information.

With IA ACT Unwrapped™ Level 1, you can

Anyone who is serious about maintaining a culture of compliance within an investment advisory firm needs access to this product on a daily basis! It will become your go-to website for all news and information related specifically to investment advisers. Click here for specific information about all components in IA ACT Unwrapped™.

For more information about IA ACT Unwrapped™ Level 1 please email Brightline Solutions™ at Info@BrightlineSolutions.com, or call us at 860-672-4433. To purchase IA ACT Unwrapped™ Level 1, please click here.

Headline News

Portfolio Manager Charged with Mispricing Fund Investments

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SEC Charges Fund Adviser and Principal for Fraudulently Overvaluing Assets
Overvaluing allowed firm to collect inflated fees
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SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments
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Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule

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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.

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