Robinhood Markets (HOOD) Gets SEC Warning Tied to Crypto Business(Bloomberg) -- Robinhood Markets Inc. has been formally warned by regulators that it may face an enforcement action tied to its cryptocurrency dealings.
The so-called Wells notice from the US Securities and Exchange Commission concerns Robinhood Crypto and its cryptocurrency listings, custody of cryptocurrencies and platform operations, the company said in a regulatory filing Monday. The agency’s staff told Robinhood that it made a “preliminary determination” to recommend that the SEC file an enforcement action.
The result could be an injunction, a cease-and-desist order, disgorgement and other penalties or limits on activities, according to the filing. The company was previously subpoenaed and has cooperated with the investigation, Robinhood said.
A Wells Notice comes gives a company time to rebut the agency’s allegations and doesn’t necessarily indicate an enforcement action will follow.
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Robinhood Markets接到與加密業務有關的SEC警告
（彭博社）- Robinhood Markets Inc.已正式收到監管機構的警告，可能面臨與其加密買賣有關的執法行動。
該公司在週一的一份監管文件中表示，美國證券交易委員會的所謂威爾斯通知涉及Robinhood Crypto及其加密貨幣上市、加密貨幣的保管和平台運營。該機構的工作人員告知Robinhood，他們做出了“初步決定”，建議SEC提起執法行動。
根據文件，結果可能是禁令、停止及停止命令、返還利益和其他處罰或活動限制。Robinhood表示，該公司此前曾被傳喚，並配合調查。
威爾斯通知給予公司時間來反駁機構的指控，並不一定表示將跟進執法行動。