Welcome to the SEC’s Strategic Hub for Innovation and Financial Technology (FinHub). As financial technologies, methods of capital formation, market structures, and investor interfaces continue to evolve, FinHub will play an important role in facilitating the SEC’s active engagement with innovators, developers, and entrepreneurs. In addition to being a resource for information about the SEC’s views and actions in the FinTech space, FinHub is also a forum for engaging with SEC staff by clicking the “ENGAGE WITH FINHUB” button below.
As part of a continuing effort to assist those seeking to comply with the U.S. federal securities laws, FinHub published a framework for analyzing whether a digital asset is a security. The framework is not intended to be an exhaustive overview of the law; rather, it is a tool to help market participants assess whether the federal securities laws apply to the offer, sale, or resale of a particular digital asset.
SEC FinHub staff hosted a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019. The forum was open to the public and webcast live via the SEC’s website; see webcast archive.
Virtual P2Ps with SEC FinHub
FinHub staff recognizes the present challenges and difficulties with in-person meetings and travel posed by COVID-19. FinHub staff, nonetheless, continues to be highly interested in meeting with FinTech industry participants to help inform regulatory approaches and engage on particular projects and issues. To facilitate ongoing communications, FinHub will host a series of thematically-based virtual P2P meet-ups over the next few months. During each series, FinHub staff will meet virtually with innovators, entrepreneurs, or firms that wish to discuss issues related to that series' theme.
The upcoming theme of virtual meetings is artificial intelligence (AI). AI refers broadly to the application of technology to perform sophisticated tasks normally requiring human intelligence (e.g., research, analysis, decision-making, etc.). Implementation of such technologies can come in various forms, including, machine learning algorithms. FinHub staff invites industry engagement concerning these technologies, and seeks to better understand how financial firms are using these technologies to, for example, build new products, offer new services, create efficiencies, and enhance regulatory compliance.
FinHub staff encourages anyone working with AI solutions or implementations to engage with FinHub as part of this initiative.
|Virtual meetings||The week of October 19th, 2020|
How to Book:
Select the button below to “Engage with FinHub.” On the webform, indicate your interest in a P2P and a member of FinHub will be in touch!
[+]Regulation, Registration and Related Matters
- Winklevoss Bitcoin Trust Order
- Statement for ‘Investment Contract’ Analysis of Digital Assets
- Framework for “Investment Contract” Analysis of Digital Assets
- No-Action Letters
- Statement on Digital Asset Securities Issuance and Trading
- Chairman’s Testimony on Virtual Currencies: The Role of the SEC and CFTC
- Hinman speech on digital asset transactions
- Statement on Potentially Unlawful Online Platforms for Trading Digital Assets
- Remarks before the AICPA National Conference on Banks & Saving Institutions
- Digital Asset Related Enforcement Actions
- Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities
- Joint Statement of CFTC/FinCEN/SEC Leaders on Activities Involving Digital Assets
- Letter to NYDFS on Proposed Coin Listing Policy Framework
- FinHub Statement on OCC Interpretation related to stablecoin reserves
[+]Initial Coin Offerings
[+]Opportunities for Public Input