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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發出“韋爾斯通知”
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.
金融服務公司羅賓漢市場公司透露，其子公司羅賓漢加密有限責任公司（RHC）已於2024年5月4日收到美國證券交易委員會（SEC）的Wells通知。該通知表明，美國證券交易委員會工作人員已做出初步決定，建議對可能違反1934年《證券交易法》的RHC採取執法行動。美國證券交易委員會的調查涉及RHC的加密貨幣上市、加密貨幣的託管和平台運營。潛在的執法可能導致一系列處罰，包括民事訴訟、行政訴訟和停止令，以及撤資、利息和金錢處罰。Robinhood一直在配合美國證券交易委員會的調查，並根據美國證券交易委員會的公平披露法規，使用其投資者關係網站和新聞室向公衆披露重要信息。
金融服務公司羅賓漢市場公司透露，其子公司羅賓漢加密有限責任公司（RHC）已於2024年5月4日收到美國證券交易委員會（SEC）的Wells通知。該通知表明，美國證券交易委員會工作人員已做出初步決定，建議對可能違反1934年《證券交易法》的RHC採取執法行動。美國證券交易委員會的調查涉及RHC的加密貨幣上市、加密貨幣的託管和平台運營。潛在的執法可能導致一系列處罰，包括民事訴訟、行政訴訟和停止令，以及撤資、利息和金錢處罰。Robinhood一直在配合美國證券交易委員會的調查，並根據美國證券交易委員會的公平披露法規，使用其投資者關係網站和新聞室向公衆披露重要信息。
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