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

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info@BrightlineSolutions.com

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Headline News

SEC Awards $450,000 to Compliance Whistleblower

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SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected by COVID-19

Form ADV & Form PF Filing Date Extended to June 30, 2020
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OCIE Statement on Operations and Exams – Health, Safety, Investor Protection and Continued Operations are our Priorities

Conducting exams off-site through correspondence except where absolutely necessary

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Order Regarding Pending Administrative Proceedings

Requests filings to be submitted electronically

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SEC Takes Targeted Action to Assist Funds and Advisers
Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures

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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.

Investors Remain Front of Mind at the SEC: Approach to Allocation of Resources, Oversight and Rulemaking; Implementation of Regulation Best Interest and Form CRS
Remarks by SEC Chairman Jay Clayton
Added to the IA Act UnwrappedTM Examination Tools Database/2020 Information

IA-5472 In the Matter of Barton W. Stuck

IA-5471 In the Matter of Adam Matthew Root

IA-5470 SemiAnnual Regulatory Flexibility Agenda

Getting Back to Basics - Protecting, Serving, and Empowering Investors  
Remarks by SEC Commissioner Allison Herren Lee before the Investment Advisers Association Compliance Conference
   - Investment Adviser Advertising
   - Climate Risk Disclosure
   - Proxy Reform
Added to the IA Act UnwrappedTM Examination Tools Database/2020 Information

LR-24780 SEC v. Donald H. Hunter

IA-5468 In the Matter of Nicholas J. Genovese

IA-5469 SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements
Form ADV & Form PF Filing Date Extended to June 30, 2020

IA-5467 In re: Pending Administrative Proceedings

LR-24773 SEC v. Brandon E. Copeland and E.B. & Copeland Capital, Inc.

IA-5456 In the Matter of E. Herbert Hafen

IA-5455 In the Matter of Daniel B. Vazquez, Sr.

LR-24769 SEC v. Stacey Beane, Justin Deckert and Travis Laska

LR-24767 SEC v. Kinetic Investment Group, LLC, et al

LR-24764 SEC v. E. Herbert Hafen

IA-5466 In the Matter of Randall S. Goulding

IA-5465 In the Matter of Marcus Boggs

IA-5464 In the Matter of HSBC Securities (USA) Inc.

IA-5462  In the Matter of Motty Mizrahi

IA-5461 In the Matter of Naya Ventures, LLC, Dayakar Puskoor, and Prabhakar Reddy

IA-5460 In the Matter of Bruce C. Worthington

IA-5458 In the Matter of Eric D. Lyons

IA-5457 In the Matter of Motty Mizrahi

IA-5463 Order under Section 206 of the Investment Advisers Act of 1940 Granting Exemptions from Speicified Provisions of the Investment Advisers Act and Certain Rules Thereunder
Order granting extention to file Form ADV and Form PF until April 30, 2020

IA-5459 In the Matter of John Thomas Capital Management Group LLC and George R. Jarkesy Jr.

IA-5454 Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
FINAL RULE
Release added to the IA Act UnwrappedTM Releases Database; amendments reflected under Regulatory Database Rules 203(l)-1 & 203(m)-1