In this edition of the newsletter, we discuss enforcement developments at the agencies during July 2020. As illustrated below, the SEC brought 27 actions (excluding follow-on actions, bars, and suspensions) and the CFTC brought 6 actions. The SEC and CFTC brought these actions against a combined total of 96 defendants and respondents.
The SEC’s 27 actions spanned numerous case types, including investment adviser cases, offering disclosure and accounting cases, an FCPA case, and a public finance case. The CFTC’s 6 actions included a cryptocurrency-related case and the CFTC’s first COVID-related case.
View previous SEC and CFTC Enforcement Updates: