SEC & CFTC Enforcement Update
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.
Read previous SEC & CFTC Enforcement Updates: