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Robinhood | 8-K: SEC issues “Wells Notice” to Robinhood

Robinhood | 8-K: SEC issues “Wells Notice” to Robinhood

Robinhood | 8-K：SEC向Robinhood发出“韦尔斯通知”
美股sec公告 ·  05/06 08:33
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Robinhood Markets, Inc., a financial services company, has disclosed that its subsidiary, Robinhood Crypto, LLC (RHC), has received a Wells Notice from the Securities and Exchange Commission (SEC) on May 4, 2024. The notice indicates that the SEC staff has made a preliminary determination to recommend enforcement action against RHC for possible violations of the Securities Exchange Act of 1934. The investigation by the SEC involves RHC's cryptocurrency listings, custody of cryptocurrencies, and platform operations. Potential enforcement could result in a range of penalties, including civil action, administrative proceedings, and cease-and-desist orders, along with disgorgement, interest, and monetary penalties. Robinhood has been cooperating with the SEC's investigation and uses its Investor Relations website and Newsroom to disclose material information to the public, in compliance with the SEC's Regulation Fair Disclosure.
Robinhood Markets, Inc., a financial services company, has disclosed that its subsidiary, Robinhood Crypto, LLC (RHC), has received a Wells Notice from the Securities and Exchange Commission (SEC) on May 4, 2024. The notice indicates that the SEC staff has made a preliminary determination to recommend enforcement action against RHC for possible violations of the Securities Exchange Act of 1934. The investigation by the SEC involves RHC's cryptocurrency listings, custody of cryptocurrencies, and platform operations. Potential enforcement could result in a range of penalties, including civil action, administrative proceedings, and cease-and-desist orders, along with disgorgement, interest, and monetary penalties. Robinhood has been cooperating with the SEC's investigation and uses its Investor Relations website and Newsroom to disclose material information to the public, in compliance with the SEC's Regulation Fair Disclosure.
金融服务公司罗宾汉市场公司透露，其子公司罗宾汉加密有限责任公司（RHC）已于2024年5月4日收到美国证券交易委员会（SEC）的Wells通知。该通知表明，美国证券交易委员会工作人员已做出初步决定，建议对可能违反1934年《证券交易法》的RHC采取执法行动。美国证券交易委员会的调查涉及RHC的加密货币上市、加密货币的托管和平台运营。潜在的执法可能导致一系列处罚，包括民事诉讼、行政诉讼和停止令，以及撤资、利息和金钱处罚。Robinhood一直在配合美国证券交易委员会的调查，并根据美国证券交易委员会的公平披露法规，使用其投资者关系网站和新闻室向公众披露重要信息。
金融服务公司罗宾汉市场公司透露，其子公司罗宾汉加密有限责任公司（RHC）已于2024年5月4日收到美国证券交易委员会（SEC）的Wells通知。该通知表明，美国证券交易委员会工作人员已做出初步决定，建议对可能违反1934年《证券交易法》的RHC采取执法行动。美国证券交易委员会的调查涉及RHC的加密货币上市、加密货币的托管和平台运营。潜在的执法可能导致一系列处罚，包括民事诉讼、行政诉讼和停止令，以及撤资、利息和金钱处罚。Robinhood一直在配合美国证券交易委员会的调查，并根据美国证券交易委员会的公平披露法规，使用其投资者关系网站和新闻室向公众披露重要信息。
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