Form 8-K of May 4, 2024 by Robinhood Markets
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SEC charges Robinhood for operating as an unregistered broker-dealer and clearing agency
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On May 4, 2024, RHC received a “Wells Notice” from the Staff of the SEC (the “Staff”) stating that the Staff has advised RHC that it made a “preliminary determination” to recommend that the SEC file an enforcement action against RHC alleging violations of Sections 15(a) and 17A of the Securities Exchange Act of 1934,
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