In this edition of the newsletter, we discuss enforcement developments at the agencies in April 2022. The SEC filed 34 actions and the CFTC filed three (excluding follow-on actions, bars and suspensions) against a combined total of 86 defendants and respondents. The SEC’s actions included general fraud, accounting cases, insider trading, and Ponzi schemes, among others. The CFTC’s actions concerned manipulative trading and fraud.

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