In this edition of the newsletter, we discuss enforcement developments at the agencies during February 2021. The SEC filed 18 actions and the CFTC filed one (excluding follow-on actions, bars and suspensions) against a combined total of 33 defendants and respondents.
The SEC’s 18 actions spanned numerous case types, including public company disclosure, accounting and auditing; investment adviser; and cryptocurrency cases. The CFTC’s single action concerned manipulative trading.
View previous SEC and CFTC Enforcement Updates: