In this edition of the newsletter, we discuss enforcement developments at the agencies during May 2021. The SEC filed 22 actions and the CFTC filed three (excluding follow-on actions, bars and suspensions) against a combined total of 51 defendants and respondents.

The SEC’s 22 actions spanned numerous case types, including a cryptocurrency fraud case against five individuals, an issuer disclosure case, seven cases involving broker-dealers, and five cases involving investment advisers. The CFTC’s three actions included two actions against CFTC-regulated asset managers.

Read the latest issue

Read previous SEC and CFTC Enforcement Updates: