In this edition of the newsletter, we discuss enforcement developments at the agencies during March 2021. The SEC filed 34 actions and the CFTC filed five (excluding follow-on actions, bars and suspensions) against a combined total of 71 defendants and respondents.
The SEC’s 34 actions spanned numerous case types, including broker-dealer, investment advisor, and fraud cases. The CFTC’s actions included two cases regarding manipulative trading.
View previous SEC and CFTC Enforcement Updates: