SEC CASP Rules

When working with SEC CASP Rules, the regulations the U.S. Securities and Exchange Commission applies to Crypto Asset Service Providers. Also known as SEC crypto compliance framework, they require registration, reporting, and investor‑protection measures for platforms that hold, trade, or advise on digital assets. This framework grew out of the SEC’s effort to treat many crypto activities as securities offerings. By tying digital‑asset services to existing securities law, the agency aims to close loopholes that let unregistered firms dodge oversight. Understanding SEC CASP rules is essential for anyone running or using a crypto platform in the U.S.

When a Crypto Asset Service Provider, a platform that offers custody, trading, or brokerage for crypto assets engages with the Securities and Exchange Commission, the federal agency that enforces securities law, the first step is to file a CASP registration. This registration requirement forms the core of the first semantic triple: SEC CASP Rules require registration of CASPs. Once registered, the provider must adopt robust Anti‑Money Laundering, programs that monitor transactions, verify customer identity, and report suspicious activity procedures. That creates the second triple: CASPs must implement AML controls under SEC CASP rules. Failure to meet these standards invites enforcement actions that can halt trading, levy fines, or force a shutdown, illustrating the third triple: SEC enforcement influences crypto exchange operations. The rules also intersect with traditional broker‑dealer requirements. If a CASP offers securities‑like tokens, it may need a broker‑dealer license, linking the SEC framework to broader financial regulation. Compliance teams often use regulatory technology (RegTech) tools to automate filing, track transaction monitoring, and generate audit trails. By integrating RegTech, firms reduce manual effort and stay ahead of evolving guidance.

Why This Matters Now

Since the SEC announced the CASP regime, dozens of exchanges, custodians, and token issuers have updated their policies. The practical outcome is clearer investor protection and a more level playing field for compliant platforms. For traders, it means greater confidence that the venues they use meet federal standards. For developers, it signals that launching a new DeFi service in the U.S. will likely involve a registration step and ongoing reporting. Below you’ll find a curated set of articles that dive deeper into each aspect of the SEC CASP landscape—ranging from step‑by‑step registration guides to real‑world case studies of enforcement actions. Explore the collection to see how the rules affect everything from token listings to cross‑border transactions, and get actionable tips you can apply today.