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US SEC Digital Assets and Crypto Regulatory Framework

Self-Assess
United States (SEC)
v2024 (evolving)
6 domains
8 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for exchanges and broker-dealers handling digital asset securities, custody requirements (SAB 121, partially rescinded), and the SEC's approach to Bitcoin and Ethereum ETFs.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.

Verified

US SEC Digital Assets and Crypto Regulatory Framework is a compliance framework from United States (SEC) with 6 domains and 8 controls that map to 92 other frameworks. The largest domains are Securities Classification of Digital Assets (3 controls), AML (1 controls), Classification (1 controls). Every control below carries what it requires and what an assessor expects to see.

Maintained by Gerard BlokdykVerified against the published standard Control text last updated

Framework summaries on this platform are AI-assisted interpretations for educational and compliance planning purposes. They do not reproduce or replace the official standards. Refer to the authoritative source for the definitive text. Framework names and trademarks belong to their respective organisations.

Framework Domains (6)

AML

1 controls
Controls in the AML domain of US SEC Digital Assets and Crypto Regulatory Framework — 1 controls
CodeTitle
USSECCRYPTO-4AML, OFAC, Whistleblower

Classification

1 controls
Controls in the Classification domain of US SEC Digital Assets and Crypto Regulatory Framework — 1 controls
CodeTitle
USSECCRYPTO-1Crypto Asset Classification (Securities Test)

Conduct

1 controls
Controls in the Conduct domain of US SEC Digital Assets and Crypto Regulatory Framework — 1 controls
CodeTitle
USSECCRYPTO-3Custody, Broker-Dealer, Market Conduct

Enforcement

1 controls
Controls in the Enforcement domain of US SEC Digital Assets and Crypto Regulatory Framework — 1 controls
CodeTitle
USSECCRYPTO-5Enforcement and SEC Cooperation

Registration

1 controls
Controls in the Registration domain of US SEC Digital Assets and Crypto Regulatory Framework — 1 controls
CodeTitle
USSECCRYPTO-2Registration, Exemptions, Disclosures

Securities Classification of Digital Assets

3 controls
Controls in the Securities Classification of Digital Assets domain of US SEC Digital Assets and Crypto Regulatory Framework — 3 controls
CodeTitle
US-SEC-DA-SC-01Howey Test Application
US-SEC-DA-SC-02Registration Requirements
US-SEC-DA-SC-03ETF Framework

Your Compliance Coverage

If you comply with US SEC Digital Assets and Crypto Regulatory Framework, you already cover:

NRC 10 CFR 73.54 - Nuclear Facility Cybersecurity

38%

3 controls mapped

Compare →

South Korea ISMS-P

38%

3 controls mapped

Compare →

Austria Data Protection Act (Datenschutzgesetz, DSG, amended 2018)

38%

3 controls mapped

Compare →

+ 89 more: NIST SP 800-190 (38%), ISO 27017 (38%)

See all 92 mapped frameworks ↓

Maps to 92 other frameworks

8 total controls
NRC 10 CFR 73.54 - Nuclear Facility Cybersecurity
3 source controls mapped|4 target controls covered
38%
South Korea ISMS-P
3 source controls mapped|2 target controls covered
38%
Austria Data Protection Act (Datenschutzgesetz, DSG, amended 2018)
3 source controls mapped|3 target controls covered
38%
NIST SP 800-190
3 source controls mapped|2 target controls covered
38%
ISO 27017
3 source controls mapped|2 target controls covered
38%
Singapore Government Instruction Manual on ICT&SS Management (IM8)
3 source controls mapped|2 target controls covered
38%
UK Telecommunications (Security) Act 2021
3 source controls mapped|2 target controls covered
38%
FedRAMP High
3 source controls mapped|3 target controls covered
38%
NIST SP 800-53 Revision 5.1 HIGH
3 source controls mapped|3 target controls covered
38%
FedRAMP Moderate
3 source controls mapped|3 target controls covered
38%
NIST SP 800-53 Rev 5 MODERATE
3 source controls mapped|2 target controls covered
38%
NIST SP 800-53 Rev 5 LOW
3 source controls mapped|2 target controls covered
38%
IAIS Insurance Core Principles (ICPs)
3 source controls mapped|2 target controls covered
38%
NIST SP 800-171A Rev 3 - Assessing CUI Security Requirements
3 source controls mapped|4 target controls covered
38%
ISO 27018
3 source controls mapped|2 target controls covered
38%
NIST Cybersecurity Framework 2.0
3 source controls mapped|3 target controls covered
38%
ISO 28001:2007 Supply Chain Security Management
3 source controls mapped|2 target controls covered
38%
ISO/IEC 27004:2016
2 source controls mapped|2 target controls covered
25%
WCAG 2.2
2 source controls mapped|1 target controls covered
25%
ISO/IEC 27003:2017
2 source controls mapped|1 target controls covered
25%
ISO/SAE 21434
2 source controls mapped|1 target controls covered
25%
ISO/IEC 23894:2023
2 source controls mapped|3 target controls covered
25%
WHO Global Strategy on Digital Health 2020-2025
2 source controls mapped|1 target controls covered
25%
UK Open Banking Standard
2 source controls mapped|1 target controls covered
25%
DAMA-DMBOK2 - Data Management Body of Knowledge (2nd Edition)
2 source controls mapped|3 target controls covered
25%
ISO 41001:2018 - Facility Management Systems
2 source controls mapped|2 target controls covered
25%
BRCGS Global Standard for Food Safety Issue 9
2 source controls mapped|3 target controls covered
25%
ISO 37000:2021 - Governance of Organizations
2 source controls mapped|3 target controls covered
25%
Nebraska Data Privacy Act
2 source controls mapped|2 target controls covered
25%
ISO 20400:2017 - Sustainable Procurement
2 source controls mapped|2 target controls covered
25%
ISO 27043
2 source controls mapped|1 target controls covered
25%
Switzerland New Federal Act on Data Protection (nFADP/nDSG, 2023)
2 source controls mapped|1 target controls covered
25%
ISO 22739:2024 - Blockchain and Distributed Ledger Technologies Vocabulary
2 source controls mapped|3 target controls covered
25%
US Foreign Corrupt Practices Act (FCPA)
2 source controls mapped|1 target controls covered
25%
Sweden Data Protection Act (Dataskyddslag, 2018:218)
2 source controls mapped|1 target controls covered
25%
Singapore Cybersecurity Act 2018
2 source controls mapped|1 target controls covered
25%
PCI P2PE
2 source controls mapped|1 target controls covered
25%
ISO 22320:2018
2 source controls mapped|3 target controls covered
25%
NIST SP 800-124 Revision 2 - Guidelines for Managing the Security of Mobile Devices
2 source controls mapped|3 target controls covered
25%
ISO/IEC 27031:2011
2 source controls mapped|1 target controls covered
25%
ISO/IEC 27007:2020
2 source controls mapped|1 target controls covered
25%
Florida Digital Bill of Rights (FDBR)
2 source controls mapped|1 target controls covered
25%
Kuwait National Cybersecurity Framework
2 source controls mapped|1 target controls covered
25%
AICPA Privacy Management Framework (PMF)
2 source controls mapped|2 target controls covered
25%
PCI SSF
2 source controls mapped|1 target controls covered
25%
ISO 19011
2 source controls mapped|2 target controls covered
25%
ISO 15189:2022 - Medical Laboratories Requirements for Quality and Competence
2 source controls mapped|5 target controls covered
25%
ISO 19650 - Organisation and Digitisation of Information about Buildings and Civil Engineering Works (BIM)
2 source controls mapped|3 target controls covered
25%
ISO 8000 - Data Quality
2 source controls mapped|2 target controls covered
25%
ISO/IEC 29147:2018
2 source controls mapped|1 target controls covered
25%
FFIEC IT Examination Handbook
2 source controls mapped|1 target controls covered
25%
IEC 62304:2015 Medical Device Software Lifecycle Processes
2 source controls mapped|3 target controls covered
25%
IEC 62351 - Power Systems Communication Security
2 source controls mapped|1 target controls covered
25%
CISA Cross-Sector Cybersecurity Performance Goals (CPG) 2.0
2 source controls mapped|1 target controls covered
25%
SANS Incident Handler's Handbook and PICERL Methodology
2 source controls mapped|2 target controls covered
25%
ASIS SPC.1-2009 - Organizational Resilience Standard
2 source controls mapped|1 target controls covered
25%
Science Based Targets Initiative (SBTi) - Net-Zero Standard
2 source controls mapped|2 target controls covered
25%
SSAE 18 - Attestation Standards (SOC Reporting)
2 source controls mapped|2 target controls covered
25%
ISO/IEC 30111:2019
2 source controls mapped|1 target controls covered
25%
COBIT 2019
2 source controls mapped|1 target controls covered
25%
Automotive SPICE (ASPICE) v4.0 - Process Assessment Model
2 source controls mapped|2 target controls covered
25%
ISO/IEC 38500:2024 - Governance of IT
2 source controls mapped|3 target controls covered
25%
ISO/IEC 29100:2024
2 source controls mapped|1 target controls covered
25%
UK Bribery Act 2010
2 source controls mapped|2 target controls covered
25%
Annex 11 to EU GMP - Computerised Systems
2 source controls mapped|3 target controls covered
25%
ISO 14064 - Greenhouse Gas Accounting and Verification (Parts 1-3)
2 source controls mapped|1 target controls covered
25%
ISO/IEC 17025:2017 - General Requirements for Testing and Calibration
2 source controls mapped|2 target controls covered
25%
ISO/IEC 25012:2008 - Data Quality Model
2 source controls mapped|2 target controls covered
25%
IEC 60601-1 - Medical Electrical Equipment Safety
2 source controls mapped|2 target controls covered
25%
ISO 56002
2 source controls mapped|2 target controls covered
25%
Albania Law on Protection of Personal Data (Law No. 9887, 2008, amended 2014)
2 source controls mapped|2 target controls covered
25%
ISO 31000:2018
2 source controls mapped|1 target controls covered
25%
Azerbaijan Law on Personal Data (2010)
2 source controls mapped|1 target controls covered
25%
SOC 2
2 source controls mapped|2 target controls covered
25%
Rhode Island Data Transparency and Privacy Protection Act (RIDTPPA)
2 source controls mapped|1 target controls covered
25%
PCI DSS 4.0
2 source controls mapped|1 target controls covered
25%
ISO 26262:2018 - Functional Safety for Road Vehicles
2 source controls mapped|1 target controls covered
25%
ISO/IEC 27557:2022 - Organisational Privacy Risk Management
2 source controls mapped|1 target controls covered
25%
AWWA Cybersecurity Guidance for the Water Sector (American Water Works Association)
2 source controls mapped|1 target controls covered
25%
Barbados Data Protection Act 2019
2 source controls mapped|1 target controls covered
25%
Illinois Biometric Information Privacy Act (BIPA)
2 source controls mapped|1 target controls covered
25%
PCI PIN Security
2 source controls mapped|1 target controls covered
25%
ISO/IEC 27006:2024
1 source controls mapped|1 target controls covered
13%
BSI IT-Grundschutz
1 source controls mapped|1 target controls covered
13%
API 1164
1 source controls mapped|1 target controls covered
13%
IEC 62443
1 source controls mapped|1 target controls covered
13%
ISO/IEC 27400:2022
1 source controls mapped|1 target controls covered
13%
NIST SP 800-53 Rev 5
1 source controls mapped|1 target controls covered
13%
ASD Strategies to Mitigate Cyber Security Incidents
1 source controls mapped|2 target controls covered
13%
ISO 27019
1 source controls mapped|1 target controls covered
13%
FFIEC Cybersecurity Assessment Tool (CAT)
1 source controls mapped|1 target controls covered
13%
NIST SP 1800-32
1 source controls mapped|1 target controls covered
13%
Compare US SEC Digital Assets and Crypto Regulatory Framework with NRC 10 CFR 73.54 - Nuclear Facility Cybersecurity

What is US SEC Digital Assets and Crypto Regulatory Framework and who does it apply to?

US SEC Digital Assets and Crypto Regulatory Framework is a compliance framework from United States (SEC) with 6 domains and 8 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.

What does US SEC Digital Assets and Crypto Regulatory Framework actually require?

US SEC Digital Assets and Crypto Regulatory Framework has 8 controls organised across 6 domains. The largest domains are Securities Classification of Digital Assets (3 controls), AML (1 controls), Classification (1 controls). Each control defines specific requirements that organisations must implement to achieve compliance.

If I already comply with another framework, how much of US SEC Digital Assets and Crypto Regulatory Framework do I already cover?

US SEC Digital Assets and Crypto Regulatory Framework maps to 92 other compliance frameworks. The top mapping partners are NRC 10 CFR 73.54 - Nuclear Facility Cybersecurity (38% coverage), South Korea ISMS-P (38% coverage), Austria Data Protection Act (Datenschutzgesetz, DSG, amended 2018) (38% coverage). Use our comparison tool to explore control-level mappings between frameworks.

How do I implement US SEC Digital Assets and Crypto Regulatory Framework?

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 8 controls and track your progress.

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