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As previously disclosed, Robinhood Crypto, LLC ("RHC") has received investigative subpoenas from the Securities and Exchange Commission ("SEC") regarding, among other topics, RHC's cryptocurrency listings, custody of
As previously disclosed, Robinhood Crypto, LLC ("RHC") has received investigative subpoenas from the Securities and Exchange Commission ("SEC") regarding, among other topics, RHC's cryptocurrency listings, custody of cryptocurrencies, and platform operations (the "RHC Activities"). RHC has cooperated with this investigation. On May 4, 2024, RHC received a "Wells Notice" from the Staff of the SEC (the "Staff") stating that the Staff has advised RHC that it made a "preliminary determination" to recommend that the SEC file an enforcement action against RHC alleging violations of Sections 15(a) and 17A of the Securities Exchange Act of 1934, as amended. The potential action may involve a civil injunctive action, public administrative proceeding, and/or a cease-and-desist proceeding and may seek remedies that include an injunction, a cease-and-desist order, disgorgement, pre-judgment interest, civil money penalties, and censure, revocation, and limitations on activities.
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