SEC and CFTC enforcement update
Client Newsletter

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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.

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