Tag: CFTC

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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A key focus of SEC enforcement has been the retail investor. To that end the Division formed a special unit to focus on cases tied to those investors. Numerous cases have been brought. That focus may also be at least …

The Markets and Bigger, Faster, Stronger Read More »

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