Robinhood 准备在加密执法冲突中与 SEC 决斗

Robinhood 首席执行官发誓反对 SEC 威尔斯通知 Robinhood Markets 首席执行官 Vlad Tenev 谴责了 SEC 的威尔斯通知，指责监管机构“通过执法进行监管”，并忽视了该公司注册为加密资产特殊目的经纪交易商的努力。 Tenev 声称，尽管与 SEC 举行了 16 次会议，但 SEC 未能提供明确的注册途径。 Robinhood 坚称加密货币已变得至关重要，并致力于为美国人提供使用这些资产的机会。该公司发誓要在法庭上为自己辩护，分析师预测，由于 Robinhood 对加密货币上市的保守态度，将会有有利的结果。

Robinhood Prepares to Challenge SEC's Enforcement in Crypto Battle

Robinhood 准备在加密战中挑战 SEC 的执法力度

May 9, 2024 - New York City, NY - Robinhood Markets, Inc., the popular online trading platform, has vowed to defend itself and its clients following the issuance of a Wells Notice by the U.S. Securities and Exchange Commission (SEC).

2024 年 5 月 9 日 - 纽约州纽约 - 受欢迎的在线交易平台 Robinhood Markets, Inc. 誓言在美国证券交易委员会 (SEC) 发布威尔斯通知后捍卫自己及其客户。

The SEC's Wells Notice, a precursor to potential legal action, alleges that Robinhood's cryptocurrency trading platform may have violated federal securities laws. However, Robinhood Chief Executive Vlad Tenev has strongly refuted these claims, calling the SEC's actions "unwarranted" and "a departure from the agency's previous approach to digital asset regulation."

美国证券交易委员会的《威尔斯通知》是可能采取法律行动的先兆，声称 Robinhood 的加密货币交易平台可能违反了联邦证券法。然而，Robinhood 首席执行官 Vlad Tenev 强烈反驳了这些说法，称 SEC 的行为“毫无根据”，并且“背离了该机构之前的数字资产监管方式”。

Tenev emphasized Robinhood's efforts to engage with the SEC on multiple occasions, seeking guidance and approval to operate as a registered broker-dealer specializing in crypto assets. Despite these efforts, the SEC has allegedly failed to provide clear regulatory guidance and has instead opted to pursue an enforcement-based approach.

Tenev 强调 Robinhood 在多个场合与 SEC 接触，寻求指导和批准作为专门从事加密资产的注册经纪交易商开展业务。尽管做出了这些努力，但据称美国证券交易委员会未能提供明确的监管指导，而是选择采取基于执法的方法。

"We believe that the SEC's actions are misguided and counterproductive," Tenev said. "They threaten to stifle innovation and limit access to cryptocurrency assets for American investors. We will vigorously defend ourselves and our clients against these charges."

“我们认为 SEC 的行为是误导性的，而且会适得其反，”特内夫说。 “他们威胁要扼杀创新并限制美国投资者获得加密货币资产。我们将积极为自己和我们的客户辩护，反对这些指控。”

Robinhood's legal team, led by Dan Callagher, has asserted that the firm has met with the SEC on numerous occasions over the past 18 months to discuss its crypto business and listing process. Callagher maintains that the SEC has provided no clear path to registration or approval.

由 Dan Callagher 领导的 Robinhood 法律团队声称，该公司在过去 18 个月内多次与 SEC 会面，讨论其加密业务和上市流程。卡拉格坚称，美国证券交易委员会没有提供明确的注册或批准途径。

The Wells Notice against Robinhood comes amid a broader SEC crackdown on cryptocurrency firms in recent weeks. The agency has issued similar notices to other major crypto exchanges, including Uniswap Labs and Consensys, raising concerns about potential regulatory overreach.

威尔斯针对 Robinhood 发出通知之际，美国证券交易委员会最近几周对加密货币公司进行了更广泛的打击。该机构已向 Uniswap Labs 和 Consensys 等其他主要加密货币交易所发出了类似的通知，引发了人们对潜在监管越权的担忧。

Tenev expressed frustration that the SEC is targeting Robinhood, despite its relatively conservative approach to crypto asset listing compared to other exchanges. Robinhood currently offers only 15 cryptocurrencies on its platform, while some rivals offer over 200.

Tenev 对 SEC 瞄准 Robinhood 表示失望，尽管与其他交易所相比，Robinhood 在加密资产上市方面采取了相对保守的态度。 Robinhood 目前在其平台上仅提供 15 种加密货币，而一些竞争对手则提供 200 多种加密货币。

"We believe that our rigorous listing standards and commitment to compliance should be commended, not punished," Tenev said. "The SEC's actions seem to suggest a bias against the cryptocurrency industry as a whole."

“我们认为，我们严格的上市标准和合规承诺应该受到赞扬，而不是惩罚，”特内夫说。 “美国证券交易委员会的行为似乎表明对整个加密货币行业存在偏见。”

According to analysts at Keefe, Bruyette & Woods (KBW), Robinhood has a strong chance of prevailing in court against the SEC. The analysts cite the firm's conservative approach to crypto asset listing and its adherence to stricter regulatory standards.

Keefe, Bruyette & Woods (KBW) 的分析师表示，Robinhood 在法庭上对抗 SEC 的胜算很大。分析师指出，该公司对加密资产上市采取保守态度，并遵守更严格的监管标准。

KBW's report acknowledges that the lawsuit could be protracted, similar to the ongoing legal battle involving Coinbase. However, the analysts believe that Robinhood's legal position is favorable, given its efforts to engage with the SEC and its commitment to compliance.

KBW 的报告承认，诉讼可能会旷日持久，类似于涉及 Coinbase 的持续法律战。然而，分析师认为，考虑到 Robinhood 与 SEC 接触的努力以及对合规的承诺，Robinhood 的法律地位是有利的。

In the meantime, Robinhood is continuing to expand its crypto trading business, leveraging the recent resurgence in crypto asset prices. The firm reported record crypto trading earnings in the first quarter of 2024, marking a significant increase from the previous quarter.

与此同时，Robinhood 正在利用近期加密资产价格的回升，继续扩大其加密货币交易业务。该公司报告称，2024 年第一季度的加密货币交易收益创历史新高，较上一季度大幅增长。

Despite the regulatory headwinds, Robinhood remains committed to providing its customers with access to cryptocurrency assets. Tenev emphasized that crypto assets have become an essential part of the financial landscape and that Robinhood will continue to advocate for the development and regulation of this emerging asset class.

尽管面临监管阻力，Robinhood 仍然致力于为客户提供加密货币资产的访问权限。 Tenev 强调，加密资产已成为金融格局的重要组成部分，Robinhood 将继续倡导这一新兴资产类别的开发和监管。

About Robinhood

关于罗宾汉

Robinhood is a commission-free trading platform that allows users to buy and sell stocks, options, exchange-traded funds (ETFs), and cryptocurrencies. The company was founded in 2013 and is headquartered in Menlo Park, California. Robinhood has over 31 million active users and $81 billion in assets under management.

Robinhood 是一个免佣金交易平台，允许用户买卖股票、期权、交易所交易基金 (ETF) 和加密货币。该公司成立于 2013 年，总部位于加利福尼亚州门洛帕克。 Robinhood 拥有超过 3100 万活跃用户，管理资产达 810 亿美元。

About the SEC

关于美国证券交易委员会

The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government responsible for enforcing federal securities laws and regulating the securities industry. The SEC was created by the Securities Exchange Act of 1934 and is headquartered in Washington, D.C.

美国证券交易委员会（SEC）是美国联邦政府的一个独立机构，负责执行联邦证券法和监管证券行业。 SEC 根据 1934 年《证券交易法》成立，总部位于华盛顿特区。