2018年10月22日 04:37

The Securities and Exchange Commission (SEC) has launched a new “FinHub” described as a strategic hub for innovation and financial technology or Fintech.

According to the SEC, the FinHub will serve as a resource for public engagement on the SEC’s Fintech related issues and initiatives. These initiatives include distributed ledger technology (or blockchain), automated investment advice, digital marketplace financing, and artificial intelligence/machine learning. The FinHub also replaces several internal working groups at the SEC that have focused on similar issues.


根据美国证券交易委员会的说法,FinHub将作为公众参与美国证券交易委员会金融科技相关问题和举措的资源。 这些举措包括分布式账本技术(或区块链),自动化投资建议,数字市场融资以及人工智能/机器学习。 FinHub还取代了SEC内部几个类似问题的工作组。

The FinHub will be led by Valerie A. Szczepanik, Senior Advisor for Digital Assets and Innovation and Associate Director in the SEC’s Division of Corporation Finance.

FinHub将由美国证券交易委员会公司财务部门的数字资产和创新高级顾问兼副总监Valerie A. Szczepanik领导。

“The SEC is committed to working with investors and market participants on new approaches to capital formation, market structure, and financial services, with an eye toward enhancing, and in no way reducing, investor protection,” said SEC Chairman Jay Clayton. “The FinHub provides a central point of focus for our efforts to monitor and engage on innovations in the securities markets that hold promise, but which also require a flexible, prompt regulatory response to execute our mission.”

美国证券交易委员会主席Jay Clayton表示,“美国证券交易委员会致力于与投资者和市场参与者合作,寻求新的资本形成,市场结构和金融服务方法,着眼于增强,绝不减少投资者保护。” “FinHub为我们监控和参与有希望的证券市场创新的努力提供了一个中心点,但这也需要灵活,迅速的监管响应来执行我们的使命。”

The FinHub will:

  • Provide a portal for industry and the public to engage directly with SEC staff on innovative ideas and technological developments;
  • Publicize information regarding the SEC’s activities and initiatives involving FinTech on the FinHub page;
  • Engage with the public through publications and events, including a FinTech Forum focusing on distributed ledger technology and digital assets planned for 2019;
  • Act as a platform and clearinghouse for SEC staff to acquire and disseminate information and FinTech-related knowledge within the agency; and
  • Serve as a liaison to other domestic and international regulators regarding emerging technologies in financial, regulatory, and supervisory systems.


  1. 为行业和公众提供一个门户网站,让他们直接与SEC工作人员就创新理念和技术发展进行接触; 在FinHub页面上公布有关美国证券交易委员会涉及FinTech的活动和举措的信息;
  2. 通过出版物和活动与公众互动,包括计划于2019年举办的分布式分类帐技术和数字资产的金融科技论坛;
  3. 作为SEC工作人员在该机构内获取和传播信息和FinTech相关知识的平台和交换所; 和担任其他国内和国际监管机构关于金融,监管和监管系统新兴技术的联络人。

Szczepanik said the SEC has been engaged for some time in efforts to understand emerging technologies.


“By launching FinHub, we hope to provide a clear path for entrepreneurs, developers, and their advisers to engage with SEC staff, seek input, and test ideas.”