Clarity and Understanding for the Workplace

Our Company

Brightline Solutions™ has set out to create the perfect products for the financial securities industry, aligning research, archiving, programming and design, to offer an unparalleled standard of excellence in the clarity and understanding of how to approach daily tasks. We have created products unlike any ever seen in the industry, and have taken online compliance to a new level.

Management

“Strive for perfection in everything. Take the best idea that exists and make it better. If it doesn't exist, create it” ~Sir Henry Royce

Jane Worthington has over two decades of experience in the areas of research, writing, and product development in the financial services industry. Before founding Brightline Solutions, LLC, Jane was employed at National Regulatory Services (“NRS”) for eighteen years, most recently as Manager of Information Products where she was responsible for tracking regulatory changes for the financial services industry and for product development and enhancement. In that role, Jane was instrumental in creating many of NRS’ research-database products, and in developing NRS’ Certification Program (IACCP) and NRS’ Certification Examination for Investment Adviser Compliance Officers. Jane also worked in the area of research and writing at NSCP, the National Society of Compliance Professionals.

Prior to working in the securities industry, Jane began her computer career with Optimum Resources/Weekly Reader Family Software, developing some of the first educational software for home computers. This software is housed in the permanent archives at Stanford University in California - documenting the microcomputing gaming industry during its formative years.

Headline News

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

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SEC Announces the Formation of Asset Management Advisory Committee

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SEC Charges IAs with Unlawful Proxy Voting of Client Securities

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Cash Solicitation Rule Violations

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SEC Orders IA to Return Nearly $1.5 Million to Clients Harmed by Share Class Selection Disclosure Violations

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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.

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