In this edition of the newsletter, we discuss enforcement developments at the agencies during October 2020. Consistent with prior years, October was a relatively slow month after the large number of cases filed before the agencies’ fiscal years ended on September 30. As illustrated below, the SEC filed 11 cases (excluding follow-on actions, bars, and suspensions) and the CFTC filed two cases. The agencies filed actions against a combined total of 35 defendants and respondents.

The SEC’s 11 actions spanned numerous case types, including public company accounting and controls, cryptocurrency and FCPA cases. The CFTC’s two actions included cryptocurrency and CFTC-regulated entity cases.

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View previous SEC and CFTC Enforcement Updates:

• September Newsletter
• August Newsletter
• July Newsletter
• June Newsletter
• May Newsletter
• April Newsletter
• March Newsletter