SEC & CFTC Enforcement Update
August was the most active month for enforcement since September 2020. The SEC filed 71 actions and the CFTC filed four, against a combined total of 148 defendants and respondents. (This tally excludes follow-on actions, bars and suspensions.) The SEC’s 71 actions spanned numerous case types, including Ponzi scheme and offering violations, investment adviser, broker-dealer and insider trading cases. Three of the CFTC’s four actions concerned commodity pool fraud.
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