Step 1 of 7: Identity
SEC Filings & Disclosure
Regulations S-K, S-X, G & FDClassify the product and assets against current authority; route registration and exchange listing work; conditionally link Form 19b-4 and staking reviews; assess custody, keys, pricing, NAV, holdings, creation/redemption, authorized participants, liquidity, network events, disclosure, continuity, and governance without pretending the assessment itself is an SEC filing.
Basis: Crypto asset products
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
7 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 7
ScreenSEC › SEC Workflows › Crypto asset exchange-traded product readinessstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
ETP sponsor or trust (required)
entityIdSelect the legal entity responsible for the crypto asset exchange-traded product assessment. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Step 2 of 7
ScreenSEC › SEC Workflows › Crypto asset exchange-traded product readinessstep 2
Complete the Scope fields. Each value is validated against the schema before the next step unlocks.
Authority and readiness assessment date (required)
assessmentAsOfEnter authority and readiness assessment date.
Product legal structure (required)
productStructureEnter product legal structure.
Crypto asset and activity inventory artifact ID (required)
cryptoAssetInventoryArtifactIdEnter crypto asset and activity inventory artifact id.
Effective-date Commission, rule, and staff-authority snapshot ID (required)
authoritySnapshotArtifactIdEnter effective-date commission, rule, and staff-authority snapshot id.
Step 3 of 7
ScreenSEC › SEC Workflows › Crypto asset exchange-traded product readinessstep 3
Complete the Registration Listing fields. Each value is validated against the schema before the next step unlocks.
Linked Securities Act registration statement workflow ID (required)
registrationStatementWorkflowIdEnter linked securities act registration statement workflow id.
Exchange listing route (required)
listingStandardRouteEnter exchange listing route.
Exchange eligibility and listing evidence artifact ID (required)
exchangeListingEvidenceArtifactIdEnter exchange eligibility and listing evidence artifact id.
A Form 19b-4 exchange rule filing is required (required)
rule19b4RequiredEnter a form 19b-4 exchange rule filing is required.
Linked Form 19b-4 workflow IDoptional
rule19b4WorkflowIdEnter linked form 19b-4 workflow id.
Step 4 of 7
ScreenSEC › SEC Workflows › Crypto asset exchange-traded product readinessstep 4
Complete the Operations fields. Each value is validated against the schema before the next step unlocks.
Custodian, private-key, cold-storage, insurance, and loss controls ID (required)
custodyAndKeyControlsArtifactIdEnter custodian, private-key, cold-storage, insurance, and loss controls id.
Pricing benchmark methodology, governance, and conflicts artifact ID (required)
pricingBenchmarkArtifactIdEnter pricing benchmark methodology, governance, and conflicts artifact id.
NAV calculation, publication, restatement, and holdings disclosure controls ID (required)
navAndHoldingsControlsArtifactIdEnter nav calculation, publication, restatement, and holdings disclosure controls id.
Creation and redemption mode (required)
creationRedemptionModeEnter creation and redemption mode.
Authorized-participant agreements and basket controls artifact ID (required)
authorizedParticipantArtifactIdEnter authorized-participant agreements and basket controls artifact id.
Liquidity, premium/discount, manipulation, and fraud-risk artifact ID (required)
liquidityAndMarketIntegrityArtifactIdEnter liquidity, premium/discount, manipulation, and fraud-risk artifact id.
Step 5 of 7
ScreenSEC › SEC Workflows › Crypto asset exchange-traded product readinessstep 5
Complete the Risk fields. Each value is validated against the schema before the next step unlocks.
Forks, airdrops, network changes, and valuation treatment artifact ID (required)
networkEventsArtifactIdEnter forks, airdrops, network changes, and valuation treatment artifact id.
The product conducts or passes through staking activity (required)
stakingEnabledEnter the product conducts or passes through staking activity.
Linked staking and airdrop assessment IDoptional
stakingAirdropWorkflowIdEnter linked staking and airdrop assessment id.
Step 6 of 7
ScreenSEC › SEC Workflows › Crypto asset exchange-traded product readinessstep 6
Complete the Disclosure fields. Each value is validated against the schema before the next step unlocks.
Financial, tax, fees, conflicts, and investor-risk disclosure artifact ID (required)
financialTaxAndRiskDisclosureArtifactIdEnter financial, tax, fees, conflicts, and investor-risk disclosure artifact id.
Service-provider due diligence and business-continuity artifact ID (required)
serviceProviderContinuityArtifactIdEnter service-provider due diligence and business-continuity artifact id.
Step 7 of 7
ScreenSEC › SEC Workflows › Crypto asset exchange-traded product readinessstep 7
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Securities and investment-management legal approval ID (required)
legalApprovalArtifactIdEnter securities and investment-management legal approval id.
Trustee, board, or equivalent fund-governance approval ID (required)
fundGovernanceApprovalArtifactIdEnter trustee, board, or equivalent fund-governance approval id.
Continue with the next guide in this framework's table of contents.
Evaluate, review, approve, and record AI capability claims, evidence, risk disclosures, and remediation.
Read guide Regulations S-K, S-X, G & FDInventory each crypto asset and activity; bind classification to current Commission authority; conditionally assess safeguarding and broker-dealer custody; review holdings, accounting, Items 101, 105 and 303, cyber, ownership, bankruptcy, counterparty, concentration, and liquidity evidence; link staking activity; and record cross-functional approval without inventing a filing.
Read guide Regulations S-K, S-X, G & FDMeasure name-consistent assets, derive the basis-point ratio and applicable compliance date, document a temporary departure when applicable, obtain approval, and preserve the reviewed assessment.
Read guide