SEC & CFTC Enforcement Update
In this edition of the newsletter, we discuss enforcement developments at the agencies during June 2021. The SEC filed 40 actions and the CFTC filed three (excluding follow-on actions, bars and suspensions) against a combined total of 94 defendants and respondents.
The SEC’s 40 actions spanned numerous case types, including investment adviser, offering violation, fraud, and insider trading cases. The CFTC’s three actions concerned reporting violations and misappropriation of trading information.
Read previous SEC and CFTC Enforcement Updates: