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. 
 

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