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View ArticleSEC Considering Fix to Loan Rule
The Securities and Exchange Commission’s staff is considering recommending a regulatory fix to the auditor independence issues caused by the Loan Rule, according to the SEC‘s semiannual regulatory...
View ArticleBetterment Settles SEC Charges Concerning Tax Loss Harvesting Service
The Securities and Exchange Commission charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to...
View ArticleSEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting...
July 12, 2023 – The SEC today adopted amendments to certain rules that govern money market funds under the Investment Company Act of 1940. The amendments are designed to enhance the resilience and...
View ArticleAmerican Infrastructure Funds Settles SEC Charges
American Infrastructure Funds LLC (AIM), a registered investment adviser based in Foster City, California, has agreed to a settlement with the SEC, in which AIM will pay over $1.6 million to resolve...
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