SEC Explains Three Unregistered Operational Violations of Coinbase

Odaily星球日报讯 SEC在针对Coinbase的诉讼中阐述道,Coinbase通过Coinbase平台,使用州际商业的手段和工具,将多个加密资产买家和卖家的订单聚集在一起,这些资产作为证券进行买卖,使用一个带有非自由支配规则的交易设施,让订单进行交互,让买家和卖家就这些证券的交易条款达成一致。因此,Coinbase被要求在SEC注册为国家证券交易所或根据此类注册的豁免进行运营,但Coinbase并没有这样做。 其次,Coinbase通过Coinbase平台、Prime和Wallet,利用州际商业的手段和工具,为他人的账户进行证券交易,例如,招揽加密资产证券的潜在投资者,将自己定位为买卖加密资产证券的场所,通过开设客户账户和处理客户资金和加密资产来促进加密资产证券的交易,通过Coinbase控制的账户和数字钱包购买证券(将其混合并视为可替代的),并由此获得补偿。因此,Coinbase被要求在SEC注册为经纪人或根据豁免进行运营,但Coinbase也没有这样做。 最后,Coinbase作为中介,在Coinbase平台上结算加密资产证券交易。Coinbase还担任证券托管人,要求客户将其加密资产证券存入Coinbase控制的钱包中,创建了一个集中处理证券的系统,在该系统中,在Coinbase平台上存入和交易的证券被视为可替代的,客户账户被Coinbase借记和贷记,以结算客户交易。因此,Coinbase被要求在SEC注册为清算机构或根据豁免进行运营,但Coinbase同样没有这样做。
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