In June, July and August 2022, the SEC filed 127 actions and the CFTC filed 12, against a combined total of 290 defendants and respondents. (These figures exclude follow-on actions, bars and suspensions.) The SEC’s actions included public company disclosure and accounting cases and actions against investment advisers, among others. The CFTC’s actions concerned alleged misstatements and fraud, as well as crypto.

Read the latest issue

Read previous SEC & CFTC Enforcement Updates:

This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.