Comments on an SEC proposal to amend its insider trading rules to address concerns about liability coverage abuse are due by April 1, 2022.

Enjoy the long weekend!

Comments on an SEC proposal to amend Form PF are due on March 21, 2022. The Form is used for reporting by certain SEC-registered investment advisers to private funds.

SEC Chair Gary Gensler marked the commencement of real-time reporting for securities-based-swap transactions.

Twelve financial firms, six broker-dealers and six investment advisers agreed to pay penalties ranging from $10,000 to $97,523 to settle SEC charges alleging that the firms failed to meet Form CRS obligations.