美国证券交易委员会诉三家媒体公司非法发行案和解新闻稿（2021年9月13日）中英对照全文

美国证券交易委员会今日指控，总部位于纽约市的 GTV Media Group Inc.、Saraca Media Group Inc. 及总部位于亚利桑那州菲尼克斯市的 Voice of Guo Media Inc. 非法发行未经注册的 GTV 普通股。

The Securities and Exchange Commission today charged New York City-based GTV Media Group Inc. and Saraca Media Group Inc., and Phoenix, Arizona-based Voice of Guo Media Inc., with conducting an illegal unregistered offering of GTV common stock.

美国证券交易委员会还宣布，指控 GTV 和 Saraca 非法发行未经注册、称为 G-Coins 或 G-Dollars 的数字资产证券。

The SEC also announced charges against GTV and Saraca for conducting an illegal unregistered offering of a digital asset security referred to as either G-Coins or G-Dollars.

各被申请人已同意支付逾5.39亿美元，以和解美国证券交易委员会提起的本案。

The respondents have agreed to pay more than $539 million to settle the SEC's action.

根据美国证券交易委员会的命令，2020年4月至6月，各被申请人向数千人公开招揽投资，邀请其认购本次发行的 GTV 股票。

According to the SEC's order, from April through June 2020, the respondents generally solicited thousands of individuals to invest in the GTV stock offering.

同期，GTV 和 Saraca 向个人招揽投资，邀请其认购本次发行的数字资产。

During the same period, GTV and Saraca solicited individuals to invest in the digital asset offering.

该命令认定，各被申请人通过 GTV 和 Saraca 网站上公开可见的视频，以及 YouTube、Twitter 等社交媒体平台，向公众传播有关这两项发行的信息。

The order finds that the respondents disseminated information about the two offerings to the general public through publicly available videos on GTV's and Saraca's websites, as well as on social media platforms such as YouTube and Twitter.

通过这两项证券发行，各被申请人共向包括美国投资者在内的逾5,000名投资者募集约4.87亿美元，两项发行所得资金混在一起。

Through these two securities offerings, whose proceeds were commingled, the respondents collectively raised approximately $487 million from more than 5,000 investors, including U.S. investors.

该命令指出，两项发行均未提交注册声明，也无已生效的注册声明，且各被申请人的要约及销售行为均不符合注册豁免条件。

As stated in the order, no registration statements were filed or in effect for either offering, and the respondents' offers and sales did not qualify for an exemption from registration.

美国证券交易委员会执法部副主任 Sanjay Wadhwa 表示：“发行人若要通过公开发行证券进入市场，就必须向投资者作出联邦证券法要求的信息披露。

"Issuers seeking to access the markets through a public securities offering must provide investors with the disclosures required under the federal securities laws," said Sanjay Wadhwa, Deputy Director of the SEC's Enforcement Division.

若发行人未履行这一义务，美国证券交易委员会将寻求能够使受损投资者获得全额弥补的救济措施，例如撤销发行并向投资者返还资金。”

"When they fail to do so, the Commission will seek remedies that make harmed investors whole, such as an unwinding of the offering and a return of the funds to the investors."

美国证券交易委员会纽约地区办公室主任 Richard R. Best 表示：“各被申请人在信息披露有限的情况下向公众招揽投资，数千名投资者因此购买了 GTV 股票、G-Coins 和 G-Dollars。

"Thousands of investors purchased GTV stock, G-Coins, and G-Dollars based on the respondents' solicitation of the general public with limited disclosures," said Richard R. Best, Director of the SEC's New York Regional Office.

美国证券交易委员会今日命令采取的救济措施包括通过公平基金分配款项，将为这些非法发行中的投资者提供切实的救济。”

"The remedies ordered by the Commission today, which include a fair fund distribution, will provide meaningful relief to investors in these illegal offerings."

美国证券交易委员会认定 GTV 和 Saraca 违反《1933年证券法》第5条。两家公司不承认也不否认该认定，但同意接受停止令，就逾4.34亿美元的吐出非法所得款项及约1,600万美元的判决前利息承担连带支付责任，并各自支付1,500万美元民事罚款。

Without admitting or denying the SEC's findings that they violated Section 5 of the Securities Act of 1933, GTV and Saraca agreed to a cease-and-desist order, to pay disgorgement of over $434 million plus prejudgment interest of approximately $16 million on a joint and several basis, and to each pay a civil penalty of $15 million.

Voice of Guo 同意接受停止令，支付逾5,200万美元的吐出非法所得款项及近200万美元的判决前利息，并支付500万美元民事罚款。

Voice of Guo agreed to a cease-and-desist order, to pay disgorgement of more than $52 million plus prejudgment interest of nearly $2 million, and to pay a civil penalty of $5 million.

该命令设立公平基金，以向受损投资者返还款项。

The order establishes a Fair Fund to return monies to injured investors.

各被申请人还同意，不直接或间接参与任何数字资产证券发行，协助美国证券交易委员会工作人员执行分配计划，并在其公开网站及社交媒体渠道发布有关美国证券交易委员会命令的通知，包括但不限于 www.gtv.org 和 www.gnews.org。

The respondents also agreed to not participate, directly or indirectly, in any offering of a digital asset security, to assist the SEC staff in the administration of a distribution plan, and to publish notice of the SEC's order on their public websites and social media channels, including but not limited to, www.gtv.org and www.gnews.org.

美国证券交易委员会正在进行的调查由 William Conway、Amanda Rios、Kerri Palen 和 Sandeep Satwalekar 负责。

The SEC's continuing investigation is being conducted by William Conway, Amanda Rios, Kerri Palen, and Sandeep Satwalekar.

促成本案提起的调查由 Conway 先生、Rios 女士、Palen 女士、Jorge Tenreiro 和 Satwalekar 先生负责。

The investigation that led up to the filing of this action was conducted by Mr. Conway, Ms. Rios, Ms. Palen, Jorge Tenreiro, and Mr. Satwalekar.

本案由 Wadhwa 先生和 Best 先生督导。

The case is being supervised by Messrs. Wadhwa and Best.

美国证券交易委员会感谢亚利桑那州公司委员会和不列颠哥伦比亚省证券委员会提供的协助。

The SEC appreciates the assistance of the Arizona Corporation Commission and the British Columbia Securities Commission.