US SEC Digital Assets and Crypto Regulatory Framework
The US Securities and Exchange Commission (SEC) regulatory framework for digital assets determines when crypto-assets are securities subject to federal securities laws. Key developments include: SEC v. Ripple and SEC v. Coinbase precedents, application of the Howey test to digital assets, registration requirements for exchanges and broker-dealers handling digital asset securities, custody requirements (SAB 121, partially rescinded), and the SEC's approach to Bitcoin and Ethereum ETFs. The SEC requires registration of crypto exchanges as national securities exchanges or alternative trading systems (ATS), broker-dealer registration for platforms facilitating digital asset securities, and compliance with Regulation ATS, Regulation SHO, and Regulation NMS where applicable.
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Framework Domains (5)
AML
| Code | Title |
|---|---|
| USSECCRYPTO-4 | AML, OFAC, Whistleblower |
Classification
| Code | Title |
|---|---|
| USSECCRYPTO-1 | Crypto Asset Classification (Securities Test) |
Conduct
| Code | Title |
|---|---|
| USSECCRYPTO-3 | Custody, Broker-Dealer, Market Conduct |
Enforcement
| Code | Title |
|---|---|
| USSECCRYPTO-5 | Enforcement and SEC Cooperation |
Registration
| Code | Title |
|---|---|
| USSECCRYPTO-2 | Registration, Exemptions, Disclosures |
Frequently Asked Questions
What is US SEC Digital Assets and Crypto Regulatory Framework?
US SEC Digital Assets and Crypto Regulatory Framework is a compliance framework from United States (SEC) with 5 domains and 5 controls. The US Securities and Exchange Commission (SEC) regulatory framework for digital assets determines when crypto-assets are securities subject to federal securities laws. Key developments include: SEC v. Ripple and SEC v. Coinbase precedents, application of the Howey test to digital assets, registration requirements for exchanges and broker-dealers handling digital asset securities, custody requirements (SAB 121, partially rescinded), and the SEC's approach to Bitcoin and Ethereum ETFs. The SEC requires registration of crypto exchanges as national securities exchanges or alternative trading systems (ATS), broker-dealer registration for platforms facilitating digital asset securities, and compliance with Regulation ATS, Regulation SHO, and Regulation NMS where applicable. It is used by organisations to establish and maintain compliance with industry standards and regulatory requirements.
How many controls does US SEC Digital Assets and Crypto Regulatory Framework have?
US SEC Digital Assets and Crypto Regulatory Framework has 5 controls organised across 5 domains. The largest domains are AML (1 controls), Classification (1 controls), Conduct (1 controls). Each control defines specific requirements that organisations must implement to achieve compliance.
What frameworks does US SEC Digital Assets and Crypto Regulatory Framework map to?
US SEC Digital Assets and Crypto Regulatory Framework does not currently have cross-framework mappings in our system. Check back as we continuously expand our mapping database.
How do I get started with US SEC Digital Assets and Crypto Regulatory Framework compliance?
Start your US SEC Digital Assets and Crypto Regulatory Framework compliance journey by running a self-assessment on our platform to identify your current compliance posture. Our AI advisory can answer specific questions about US SEC Digital Assets and Crypto Regulatory Framework requirements, and cross-framework mapping helps you leverage existing controls from other frameworks you may already comply with. Create a free account to access all 5 controls and track your progress.
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