The SEC's Division of Trading and Markets has issued a staff statement on custody of crypto-asset securities by broker-dealers, stating that the Division will not object to a broker-dealer being deemed to have "physical possession" of crypto-asset securities held for client accounts pursuant to Rule 15c3-3 (b) (1) if the broker-dealer takes the measures described below.
Access rights and transfer capabilities of crypto-asset securities
Evaluation of the characteristics of distributed ledger technology for crypto-asset securities
Suspension of crypto-asset securities custody business due to security or operational issues
Private key protection measures
Measures to safeguard the continued safe custody and accessibility of crypto-asset securities in the event of a disruption
The SEC's Department of Trading and Markets has issued a staff statement on the custody of crypto-asset securities by broker-dealers
2025-12-18 00:19:49
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