2022年11月2日

美国证券交易委员会主席Gary Gensler在演讲中强调了他的机构对Coinbase、BlockFi和其他加密货币公司的执法行动(美国东部时间2022年11月2日上午10点22分，美国东部时间2022年11月2日上午10点15分，美国东部时间2022年11月2日上午9点47分)。Gensler发表上述言论的几周前，拜登政府发布了一系列报告，呼吁监管机构继续执行与数字资产有关的现有法律。美国证券交易委员会主席加里·詹斯勒在纽约的一次演讲中吹捧了他的机构对加密货币公司的执法行动，加大了扰乱该行业的法律行动的力度。在事先准备好的讲稿中，詹斯勒对一群律师说，一个著名的亚里士多德原则指导着证交会的执法行动:“对类似案件一视同仁。詹斯勒说:“如果你没有按要求注册证券，或者没有适当地注册为投资公司，无论所涉及证券的‘形式’或‘名称’如何，你都违反了证券法。”他以针对BlockFi、Coinbase和其他加密货币公司的案例来证明自己的观点。他补充说:“当BlockFi未能注册加密贷款产品的出售和销售，并就这些证券做出重大虚假和误导性陈述时，我们对他们提出了指控。”Gensler在执业律师协会(practice Law Institute)主办的一次证券监管活动上表示，SEC由"公仆、执勤警察组成，将公众热情与非凡能力结合起来。"Gensler还强调了针对Allianz Global Investors、Archegos Capital Management和Infinity Q Capital Management的案例。SEC指控这些公司和一些高管实施欺诈计划。 “Fraud is fraud, regardless of the types of investors you have defrauded and the types of securities used in the fraud,” Gensler said. During his remarks, which extended beyond crypto issues, Gensler urged companies that have violated the commission's rules to comply with its investigations. Overall, the SEC filed more than 700 actions during the fiscal year that ended Sept. 30, Gensler said. The agency obtained $6.4 billion in judgments and orders, including $4 billion in civil penalties. "If you mess up, and people do mess up sometimes, come in and talk to us, cooperate with our investigation, and remediate your misconduct,” Gensler said. When it comes to clearer rules for digital assets, Gensler said his agency is working to get intermediaries "up and registered." The SEC boss said crypto exchanges, broker-dealers and lenders are likely listing tokens that could be considered securities. "They tend to have dozens if not hundreds to thousands of tokens on them and it is statistically improbable that they don't have securities," Gensler said. "It's so important to get those intermediaries within the investor protection perimeter. We're talking to significant intermediaries both in what I might call the crypto and incumbents, as well as traditional financial firms." © 2022 The Block Crypto, Inc. All Rights Reserved. This article is provided for informational purposes only. It is not offered or intended to be used as legal, tax, investment, financial, or other advice. About Author Stephanie is a senior reporter covering policy and regulation. She is focused on legislation, regulatory agencies, lobbying and money in politics. Stephanie is based in Washington, D.C. Editor Colin Wilhelm at