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Browse: Home / 2018 / December / 06 / SEC and CFTC FY2018 Results: Looking Back . . . and Looking Forward – Securities Law PerspectivesSecurities Law Perspectives

SEC and CFTC FY2018 Results: Looking Back . . . and Looking Forward – Securities Law PerspectivesSecurities Law Perspectives

By Securities Docket on December 6, 2018, 8:34 am

Earlier this month, the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission issued their annual reports about their Divisions of Enforcement results for fiscal year 2018. Analyzing these reports is a helpful way for us to learn from the recent historical enforcement efforts by both financial regulatory agencies. Also, both reports provide guidance about the divisions’ objectives and initiatives for the upcoming fiscal year and beyond. Below we explore and summarize the important topics covered in both reports.

via SEC and CFTC FY2018 Results: Looking Back . . . and Looking Forward – Securities Law PerspectivesSecurities Law Perspectives.

Posted in Industry, SEC, Top | Tagged Reports

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