Davis Polk & Wardwell LLP

05/24/2024 | News release | Distributed by Public on 05/23/2024 18:03

SEC & CFTC Enforcement Update

In April 2024, the SEC filed 21 actions and the CFTC filed 1, against a combined total of 31 defendants and respondents. (These figures exclude follow-on actions, bars and suspensions.) The SEC actions include investment adviser violations, broker-dealer violations and public company disclosures.

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