Category: SECActions

The Commission has repeatedly emphasized its focus on the main street, retail investor in recent years. Specifically, while the agency has sought to protect all investors, a key concern has been seniors and retirees who are often victimized by the …

The SEC’s Main Street, Senior Investor Focus Read More »

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The CFTC Division of Enforcement filed its Third Annual Report at the end of November 2019, reviewing the fiscal year (here). The Report is the typical mixture of goals, statistics, analysis and initiatives. Overall it offers insight into an agency …

The CFTC Annual Enforcement Report Read More »

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