2024-7-10 14:14:2 Author: hackernoon.com(查看原文) 阅读量:0 收藏
SEC v. Consensys Software Inc. Court Filing, retrieved on June 28, 2024, is part of HackerNoon’s Legal PDF Series. You can jump to any part in this filing here. This part is 23 of 26.
FIRST CLAIM FOR RELIEF - Violation of Exchange Act Section 15(a)
329. The Commission re-alleges and incorporates by reference here the allegations in paragraphs 1 through 329.
330. By engaging in the acts and conduct described in this Complaint, Consensys, a person other than a natural person under the Exchange Act, is a broker and made use of the mails and the means and instrumentalities of interstate commerce to effect transactions in, or to induce or attempt to induce the purchase or sale of, securities for the account of others, without registering as a broker, and without having an exemption or exception from such registration.
331. By reason of the foregoing, Consensys violated, and, unless enjoined, will continue to violate Exchange Act Section 15(a) [15 U.S.C. § 78o(a)].
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