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 . To purchase IA ACT Unwrapped™ Level 1, please click here.

Headline News

2020 Renewal Program
Calendar now available - note fee increases
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Enforcement Publishes Annual Report for FY2019

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SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

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Regulatory Agencies Join the Global Financial Innovation Network

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FAQs Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation

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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-5410 In the Matter of William Harper Minor, Jr.

LR-24664 SEC v. Gregory M. Bercowy

IA-5409 In the Matter of Daniel Sholom Frishberg

IA-5408 In the Matter of Morgan Stanley Smith Barney LLC

IA-5406 In the Matter of James T. Booth

IA-5405 In the Matter of Cameron G. High

IA-5404 In the Matter of Thomas D. Conrad, Jr.

Enforcement Division Annual Report - FY19
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

LR-24660 SEC v. Bolton Securities Corporation d/b/a Bolton Global Asset Management

IA-5407 Investment Adviser Advertisements; Compensation for Solicitations
Proposing Release

Securities Industry and Financial Markets Association
Extention of Temporary No-Action Letter - Advisers Act Sec. 202(a)(11)

FAQs Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Division of Investment Management

Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

Joint Statement on Activities Involving Digital Assets
Statement issued by the Leaders of CFTC, FinCEN, and SEC
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

LR-24643 SEC v. Cetera Advisors, LLC and Cetera Advisor Networks LLC

IA-5403 In the Matter of Albert K. Hu

IA-5402 In the Matter of Saving2Retire, LLC, and Marian P. Young

LR-24640 SEC v. Thomas Conrad, Jr. et al.

IA-5401 In the Matter of Michael Siva
LR-24638 SEC v. Daniel Rivas, et al.

IA-5400 In the Matter of Mark Megalli

IA-5399 In the Matter of Daniel Sholom Frishberg

LR-24633 SEC v. Westport Capital Markets, LLC and Christopher E. McClure

LR-24632 SEC v. Bluepoint Investment Counsel, et al

LR-24829 SEC v. James T. Booth

LR-24828 SEC v. Marcus Beam

LR-24617 SEC v. William M. Apostelos, et al.

LR-24626 SEC  v. Yellowstone Partners, LLC, David H. Hansen, and Cameron G. High

IA-5369 In the Matter of Hefren-Tillotson, Inc.

IA-5368 In the Matter of Joseph B. Bronson

IA-5367 In the Matter of Nicholas Lattanzio

IA-5366 In the Matter of Leonardo Cornide and Jorge Falcon

Unlawful Proxy Voting of Client Securities:
IA-5375 In the Matter of Three Bridge Wealth Advisors, LLC
IA-5374 In the Matter of Amadeus Wealth Advisors, LLC
Added to the IA Act UnwrappedTM Releases Database and to the Risks/Significant Cases Tab under Regulatory Database Rule 206(4)-6

IA-5371 In the Matter of Cetera Investment Advisers LLC
Added to the IA Act UnwrappedTM Releases Database and to Risks/Significant Cases under Regulatory Database Rule 206(4)-2 Cash Payments for Client Solicitations

Oversight of the SEC: Wall Street’s Cop on the Beat
Testimony Before the U.S. House of Representatives Committee on Financial Services
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information