Clarity and Understanding for the Workplace

Contact Us

Address

Brightline Solutions, LLC
P.O. Box 121
Cornwall, CT 06753

Email:

info@BrightlineSolutions.com

Phone

Office: 860-672-4433
Fax: 860-364-1736

Contact Form


Customer Service

Brightline Solutions is focused on the needs of our clients.

For information about our products and services, please email us at info@BrightlineSolutions.com. Our Customer Service agents will contact you within 24 hours.

For more immediate concerns, please call us at 860-672-4433.

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
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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
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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.

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