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for exchanges and broker-dealers handling digital asset securities, custody requirements (SAB 121, partially rescinded), and the SEC's approach to Bitcoin and Ethereum ETFs.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 (2)
Compliance and Enforcement
SEC compliance and enforcement actions
| Code | Title |
|---|---|
| BOSE-8 | Terms of Service Enforcement |
| BOSE-9 | Civil Penalties for Non-Reporting |
| CA-AODA-CE-01 | Accessibility Compliance Report |
| CA-AODA-CE-02 | Accessibility Policy and Plan |
| CA-AODA-CE-03 | Enforcement |
| CDR-13 | ACCC Enforcement |
| CDR-14 | OAIC Privacy Enforcement |
| DMA-ART11 | Compliance Reporting |
| DMA-ART13 | Anti-Circumvention |
| DMA-ART14 | Obligation to Inform About Concentrations |
| DMA-ART15 | Profiling Audit |
| DMA-ART8 | Compliance Measures |
| EAR-COMP-01 | Export Compliance Programme |
| EAR-COMP-02 | Screening Requirements |
| EAR-COMP-03 | Enforcement and Penalties |
| EU-EAA-CE-01 | Conformity Assessment |
| EU-EAA-CE-02 | Market Surveillance |
| EU-EAA-CE-03 | Consumer Complaints and Enforcement |
| EU-NIS2-EN-CE-01 | Supervisory Framework |
| EU-NIS2-EN-CE-02 | Supply Chain and SBOM |
| EU-NIS2-EN-CE-03 | Penalties |
| EUDR-CE-01 | Due Diligence Statements |
| EUDR-CE-02 | Country Benchmarking |
| EUDR-CE-03 | Penalties |
| HBNR-ENF-01 | Record-Keeping Requirements |
| HBNR-ENF-02 | FTC Enforcement Authority |
| HBNR-ENF-03 | State Attorney General Enforcement |
| NDB-DATA-BREACH-PLAN | Data breach response plan |
| NDB-S26WR | Commissioner-directed notification |
| PSTI-CMP-01 | Statement of Compliance |
| PSTI-CMP-02 | Importer and Distributor Obligations |
| PSTI-CMP-03 | Enforcement and Penalties |
| US-ITAR-EAR-CE-01 | Compliance Programme |
| US-ITAR-EAR-CE-02 | Violation Reporting |
| US-ITAR-EAR-CE-03 | Penalties |
| US-SEC-DA-CE-01 | Platform Compliance |
| US-SEC-DA-CE-02 | Custody and Reporting |
| US-SEC-DA-CE-03 | Enforcement Actions |
Securities Classification
Digital asset securities regulation
| Code | Title |
|---|---|
| US-SEC-DA-SC-01 | Howey Test Application |
| US-SEC-DA-SC-02 | Registration Requirements |
| US-SEC-DA-SC-03 | ETF Framework |
Maps to 640 other frameworks
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 2 domains and 41 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 41 controls organised across 2 domains. The largest domains are Compliance and Enforcement (38 controls), Securities Classification (3 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 maps to 640 other compliance frameworks. The top mapping partners are Notifiable Data Breaches Scheme (Australia) (41% coverage), FTC Health Breach Notification Rule (41% coverage), EU NIS2 Directive — Energy Sector Cybersecurity Requirements (Directive 2022/2555) (41% coverage). Use our comparison tool to explore control-level mappings between frameworks.
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 41 controls and track your progress.
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