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国际资讯监管与政策

重磅:SEC提出美国证券法或将适用于ICO(附报告链接)

北京时间7月26日消息,美国证券交易委员会(SEC)表示数字代币的发售(即ICO)”受联邦证券法的管制”。

该机构在其报告(全文下载)中提到,其已调查了The DAO的代币发行情况。去年夏天,这一基于以太坊的投资工具因智能合约中存在的漏洞而急速崩溃。

SEC表示,这些DAO代币构成了证券。尽管该机构表示,其不会对该项目进行任何指控,但它向行业及市场参与者发出了警告,该机构表示:

“…委员会认为发布这一报告是适当的,其以公共利益为出发点,旨在为强调美国联邦证券法可适用于各类活动,包括分布式账本技术。根据特定的事实及情况,无需考虑组织的形式或用于完成特定要约或售卖活动的技术。”

美国证券交易委员会执行部门副主任Stephanie Avakian在一份声明中提到:

“这些虚拟交易背后的创新技术,并不会免受证券发行及交易平台监管框架的监管,这是为了保护投资者及市场的完整性。”

除了关于the DAO的报告,SEC还发布了一份关于 ICO的投资者公告。其中还包括警告ICO参与者相关的欺诈风险。

“投资ICO,在欺诈或盗窃事件中,可能会限制你的恢复损失能力。虽然你可能享有联邦证券法的权利,但你的恢复损失能力可能会受到很大的限制。”

据悉,距SEC正式被请求对区块链资产及 ICO发布监管指导已过去了几个月的时间,而这一报告也有效地结束了外界对SEC将如何对待ICO的猜测。

The US Securities and Exchange Commission said today that the offering and sale of digital tokens "are subject to the requirements of the federal securities law."

The agency, in its statement, revealed that it had been investigating the issuance of tokens connected to The DAO, the ethereum-based funding vehicle that collapsed dramatically last summer following an exploit of a flaw in its code.

Per the SEC, those "DAO tokens" constitute securities, though the agency said that it was not going to pursue any charges in connection with the project, but is releasing its finding "to caution the industry and market participants."

The agency said:

"...the Commission deems it appropriate and in the public interest to issue this Report in order to stress that the U.S. federal securities law may apply to various activities, including distributed ledger technology, depending on the particular facts and circumstances, without regard to the form of the organization or technology used to effectuate a particular offer or sale."

Stephanie Avakian, co-director of the SEC's Enforcement Division, added in a statement:

"The innovative technology behind these virtual transactions does not exempt securities offerings and trading platforms from the regulatory framework designed to protect investors and the integrity of the markets."

In tandem with the DAO report, the SEC published an investor bulletin about initial coin offerings, or ICOs. Among the items included was a warning about the risks of fraud for those who opt to participate.

"Investing in an ICO may limit your recovery in the event of fraud or theft. While you may have rights under the federal securities laws, your ability to recover may be significantly limited," the bulletin read.

The move comes months after the SEC was formally petitioned to issue guidance on blockchain assets and ICOs, effectively ending a period of doubt as to what approach the SEC would take.


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