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SEC Declines to Impose Civil Penalties for Unregistered Sale of Securities

The SEC recently settled charges against an issuer for failing to register the offers and sales of a retail crypto lending product. But the SEC declined to impose civil penalties in light of the issuer's co-operation with the SEC and remedial actions, including the return of investors' funds.

The SEC will continue to view as a security a company's receipt of investor funds and return of interest through the investment of those funds.


bfs, capital markets, capital markets and securities, corporate