吴说获悉，美国证券交易委员会（SEC）宣布，Robinhood Securities LLC 和 Robinhood Financial LLC 同意支付总计 4500 万美元的民事罚款，以解决因其经纪业务运营而产生的一系列违规指控。根据 SEC 的命令，两家公司未能遵守多项监管要求，包括未及时报告可疑交易活动、未实施足够的身份盗窃保护措施、未解决已知的网络安全漏洞导致未经授权访问客户信息、未妥善保存电子通信和核心运营数据、以及未依法保留与客户的沟通记录。此外，Robinhood Securities 单独违反了《证券交易法》中的相关规定，包括未提供完整的交易数据（蓝单数据）和未遵守 Regulation SHO 的要求。

（转自：吴说）

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