SEC & CFTC Enforcement Update
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.
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