DOE Archives - The Industry Spread

SEC’s Division of Enforcement SECDOE Touts Positive 2019

November 11, 2019

We are pleased to share the Division of Enforcement’s annual report detailing the accomplishments of the Division during Fiscal Year 2019. The more than 1,350 talented women and men of the Division are steadfastly committed to protecting investors and ensuring that our capital markets operate fairly.

CFTC’s Division of Enforcement Issues First Public Enforcement Manual

May 11, 2019

The Commodity Futures Trading Commission’s (CFTC) Division of Enforcement (DOE) published its Enforcement Manual (Manual) today. This is the first issuance of a public Manual by DOE. The Manual provides an overview of the CFTC and DOE, and it establishes certain general policies and procedures that guide the work of DOE staff in detecting, investigating, and prosecuting violations of the Commodity Exchange Act (CEA) and the CFTC Regulations.