SEC & CFTC Enforcement Update
In May 2023, the SEC filed 40 actions and the CFTC filed seven, against a combined total of 72 defendants and respondents. (These figures exclude follow-on actions, bars and suspensions.) The actions include matters related to broker-dealers and investment advisers, among others.
Read previous SEC & CFTC Enforcement Updates:
- April 2023 issue
- March 2023 issue
- February 2023 issue
- January 2023 issue
- Summer 2022 issue
- May 2022 issue
- April 2022 issue
- February & March 2022 issue
- January 2022 issue
- December 2021 issue
- October & November 2021 issue
- September 2021 issue
- August 2021 issue
- July 2021 issue
- June 2021 issue
- May 2021 issue
- April 2021 issue
- March 2021 issue
- February 2021 issue
- January 2021 issue
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