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. Additionally, the Division of Corporation Finance issued no-action response to a market participant in connection with the proposed offer and sale of a 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. The agenda and participants are listed below.
Local P2Ps with SEC FinHub
The SEC’s Strategic Hub for Innovation and Financial Technology (FinHub) seeks to engage with FinTech communities across the country and has begun hosting local peer-to-peer meetings. These P2Ps offer members of FinTech communities the opportunity to speak in person with FinHub staff at a location nearby to discuss a general issue, specific question, or give a presentation about their work.
FinHub is designed to make the SEC’s FinTech work more accessible to innovators, entrepreneurs, and their advisers, and serves as a platform to inform the SEC's understanding of new financial technologies. FinHub is continuously interested in engagement. FinTech community members who wish to request engagement with the staff are encouraged to submit a request through the FinHub portal (link below). Please indicate whether you’d like to schedule a P2P at the location and dates below.
|U.S. Securities and Exchange Commission
Boston Regional Office
33 Arch St., 24th Floor
Boston, MA 02110
|November 8 between 10am-1pm|
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
[+]Initial Coin Offerings
[+]Opportunities for Public Input
- Invitation to comment on the listing of Bitwise Bitcoin ETF Trust shares
- Staff Letter and Responses: Fund Innovation and Crypto Holdings
- Transfer Agent Concept Release (blockchain applications)
- Invitation to comment on the listing of VanEck SolidX Bitcoin Trust shares
- Non-DVP and Custody of Digital Assets Letter