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 first theme is regulatory technology (RegTech). Financial services firms are increasingly turning to technological innovation to strengthen and add efficiencies to their regulatory compliance programs. Technology firms are developing innovative solutions to assist financial firms in these efforts. RegTech tools have the potential to enhance investor and market protections, and FinHub staff is inviting industry engagement concerning these technologies.
FinHub staff encourages anyone working with RegTech solutions or implementations to engage with FinHub as part of this initiative.
|Virtual meetings||The week of July 6th, 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
[+]Initial Coin Offerings
[+]Opportunities for Public Input