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Headline News

Senate Banking Committee Approves New SEC Commissioners
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Peter B. Driscoll Named Director of OCIE
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Former PE Firm Partner Charged with Secretly Billing Clients for Vacations and Salon Visits
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SEC Announces Measures to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions
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Temporary No-Action Relief for BDs Receiving Payments for Research from Investment Managers Subject to MiFID II
DIM will not consider a BD to be an IA
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No-Action Relief for Advisers to Aggregate Client Orders
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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-4809 In the Matter of Patric Ken Baccam

IA-4808 In the Matter of Paul Edward "Ed" Lloyd, Jr. CPA

IA-4807 In the Matter of Paul H. Ellison

IA-4806 In the Matter of James P. Kolf

IA-4805 In the Matter of Tamer F. Moumen

IA-4803 In the Matter of UBS Financial Services

IA-4802 In the Matter of Kenneth P. Krueger

IA-4801 In the Matter of Canterbury Consulting, Inc.

IA-4800 In the Matter of Augustine Capital Management, LLC, John T. Porter and Thomas F. Duszynski, CPA

Securities Industry and Financial Markets Association (SIFMA)
No-Action Relief under Advisers Act Sec. 202(a)(11)
Temporary No-Action Relief for BDs Receiving Payments for Research from Investment Managers Subject to MiFID II
Added to the IA Act UnwrappedTM No-Action Letters Database

Investment Company Institute
No-Action Relief under Advisers Act Sec. 206
Request for No-Action Relief for Advisers to Aggregate Client Orders
Added to the IA Act UnwrappedTM No-Action Letters Database

IA-4799 In the Matter of Brian J. Keenan

IA-4798 In the Matter of Kevin J. Amell

IA-4797 Stephens Inc.
Added to the IA Act UnwrappedTM Releases Database and to Regulatory Database Rule 206(4)-5 Pay to Play - No-Action/Exemptive Order Tab

LR-23970 SEC v. John H. Rogicki

IA-4796 In the Matter of Brandon P. Long

IA-4795 In the Matter of Jeffrey S. Preston

IA-4794 In the Matter of Paul Edward "Ed" Lloyd, Jr., CPA

IA-4793 In the Matter of Mark Megalli

IA-4791 FAST Act Modernization and Simplification of Regulation S-K
Proposing Release added to the IA Act UnwrappedTM Releases Database
Proposed revisions reflected in IA Act UnwrappedTM Regulatory Database Rule 0-6

IA-4792 In the Matter of Sam Sadeghi

IA-4790  In the Matter of Danny S. Hood

IA-4789 Semi-Annual Regulatory Flexibility Agenda

IA-4788 In the Matter of Paul Edward "Ed" Lloyd, Jr., CPA

IA-4787 In the Matter of John Austin Gibson, Jr.

IA-4786 In the Matter of GL Capital Partners, LLC and GL Investment Services, LLC

IA-4785 In the Matter of William D. Bucci

LR-23961 SEC v. Richard G. Cody

IA-4784 In the Matter of Edward D. Jones & Co., L.P. - Exemptive Order

LR-23959 SEC v. Tweed Financial Services, Inc. et al

IA-4783 In the Matter of Paul Leon White, II

IA-4782 In the Matter of Jeffrey Timothy Kluge

IA-4781 In the Matter of Perry H. Beaumont

IA-4780 In the Matter of SIX Financial Information USA, Inc.

LR-23951 SEC  v. Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO LLC

Information Regarding Regulatory Relief for Hurricane Victims
Added to the IA Act UnwrappedTM Regulatory Database - Rules 204-1 and 204-3 Disclosure & Recordkeeping Tabs

ID-1182 In the Matter of Lynn Tilton; Patriarch Partners, LLC. et al

IA-4779 In the Matter of Avaneesh Krishnamoorthy

Testimony on Oversight of the SEC  
SEC Chairman Jay Clayton - Before the Senate Committee on Banking, Housing and Urban Affairs
Added to the IA Act UnwrappedTM Examination Tools Database - 2017 Information