# EDGAR Filing Document

**Accession Number:** 0001756699
**File Stem:** 0001193125-26-235622
**Filing Date:** 2026-5
**Character Count:** 5613
**Document Hash:** 978a7fa5ab12c3223e2cb92d4c57cfb6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-26-235622.hdr.sgml**: 20260522

**ACCESSION NUMBER**: 0001193125-26-235622

**CONFORMED SUBMISSION TYPE**: 6-K

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260522

**FILED AS OF DATE**: 20260522

**DATE AS OF CHANGE**: 20260522

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** UP Fintech Holding Ltd
- **CENTRAL INDEX KEY:** 0001756699
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **ORGANIZATION NAME:** 09 Crypto Assets
- **EIN:** 000000000
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 6-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38833
- **FILM NUMBER:** 261011171

**BUSINESS ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** 18F,NO.16 TAIYANGGONG RD,CHAOYANG DIST.
- **CITY:** BEIJING
- **PROVINCE COUNTRY:** F4
- **ZIP:** 100020
- **BUSINESS PHONE:** 86-10-56216660

**MAIL ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** 18/F, NO.16 TAIYANGGONG MIDDLE ROAD
- **CITY:** BEIJING
- **PROVINCE COUNTRY:** F4
- **ZIP:** 100020

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Up Fintech Holding LTD
- **DATE OF NAME CHANGE:** 20181023

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

**FORM 6-K**

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**REPORT OF FOREIGN PRIVATE ISSUER**

**PURSUANT TO RULE 13a-16 OR 15d-16**

**UNDER THE SECURITIES EXCHANGE ACT OF 1934**

**For the month of May 2026**

**Commission File Number: 001-38833**

**UP Fintech Holding Limited**

**1 Raffles Place, #35-61 One Raffles Place** 

**Singapore (048616)** 

(Address of principal executive office)

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.

Form 20-F ☒ Form 40-F ☐

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**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **UP Fintech Holding Limited** | **UP Fintech Holding Limited** |
|  | By: | /s/ JOHN FEI ZENG |
|  | Name: | John Fei Zeng |
|  | Title: | Chief Financial Officer  |
| Date: May 22, 2026 |  |  |

---

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**EXHIBIT INDEX**

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| | |
|:---|:---|
| **Exhibit<br>No.** | **Description** |
| 99.1 | [<u>Press Release — UP Fintech Holding Limited Announces Experiencing an Ongoing Investigation Conducted by CSRC Beijing Bureau</u>](tigr-ex99.htm) |

---

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## Ex-99

**Exhibit 99.1**

**Administrative Penalty by the CSRC**

On May 22, 2026, certain subsidiaries of UP Fintech Holding Limited (NASDAQ: TIGR) (the "**Company**") received notices from the China Securities Regulatory Commission Beijing Bureau (the "**CSRC Beijing Bureau**") indicating that the CSRC Beijing Bureau had initiated an investigation into their suspected illegal operations of securities, fund and futures business, and found that these subsidiaries had conducted unlicensed cross-border securities business and illegal activities relating to the fund and futures business in mainland China. Based on its findings, the CSRC Beijing Bureau has imposed administrative penalties in the aggregate amount of approximately RMB308.1 million and confiscation of illegal income in the aggregate amount of approximately RMB103.1 million. Mr. Tianhua Wu, a director and the CEO and controlling person of the Company, has also received a warning and penalty of RMB1.25 million. As of the end of 2025, retail client assets in mainland China under the Company's consolidated accounts constituted approximately 10% of the Company's total client assets.

The Company accepts the penalty with sincerity. The Company is fully cooperating with the regulatory authorities, and will strictly implement the rectification measures required by the authorities. The Company remains committed to fulfilling its obligations as an online brokerage firm and complying with applicable laws and regulations.

**Safe Harbor Statement**

This current report on Form 6-K contains forward-looking statements. These statements are made under the "safe harbor" provisions of the U.S. Private Securities Litigation Reform Act of 1995. These forward-looking statements can be identified by terminology such as "may," "might," "aim," "likely to," "will," "expects," "anticipates," "future," "intends," "plans," "believes," "estimates" and similar statements or expressions. The Company may also make written or oral forward-looking statements in its other periodic reports to the U.S. Securities and Exchange Commission ("SEC") on Forms 20-F and 6-K, in its annual report to shareholders, in press releases and other written materials and in oral statements made by its officers, directors or employees to third parties, including the earnings conference call. Statements that are not historical facts, including statements about the Company's beliefs and expectations, are forward-looking statements. Forward-looking statements involve inherent risks and uncertainties. A number of factors could cause actual results to differ materially from those contained in any forward-looking statement. Further information regarding these and other risks is included in the Company's filings with the SEC, including the Company's annual reports on Form 20-F filed with the SEC. All information provided herein is as of the date hereof, and the Company undertakes no obligation to update any forward-looking statement, except as required under applicable law. <br>

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