Title
SEC and CFTC enforcement update
Client Newsletter
Created date
5/4/2021
In this edition of the newsletter, we discuss enforcement developments at the agencies during April 2021. The SEC filed 29 actions and the CFTC filed three (excluding follow-on actions, bars and suspensions) against a combined total of 63 defendants and respondents.
The SEC’s 29 actions spanned numerous case types, including public company disclosure, brokerdealer, investment advisor, and fraud cases. The CFTC’s actions included cases involving binary options and cryptocurrencies.
View previous SEC and CFTC Enforcement Updates:
Related Professionals
Related Practices
Related Offices