Step 1 of 9: Identity
SEC Filings & Disclosure
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.
Basis: Digital asset disclosure
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
9 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Reporting entity (required)
entityIdSelect the entity whose crypto assets, activities, custody, accounting, and disclosures are assessed. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Step 2 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 2
Complete the Classification fields. Each value is validated against the schema before the next step unlocks.
Assessment as-of date (required)
assessmentAsOfEnter assessment as-of date.
Complete crypto asset and activity inventory artifact ID (required)
assetAndActivityInventoryArtifactIdEnter complete crypto asset and activity inventory artifact id.
Operative rule, Commission interpretation, and staff-guidance artifact ID (required)
operativeAuthorityArtifactIdEnter operative rule, commission interpretation, and staff-guidance artifact id.
Asset-by-asset securities classification artifact ID (required)
securitiesClassificationArtifactIdEnter asset-by-asset securities classification artifact id.
Offering, investment-contract, and registration analysis artifact ID (required)
offeringAndRegistrationAnalysisArtifactIdEnter offering, investment-contract, and registration analysis artifact id.
Step 3 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 3
Complete the Safeguarding fields. Each value is validated against the schema before the next step unlocks.
Entity safeguards crypto assets for others (required)
safeguardingForOthersEnter entity safeguards crypto assets for others.
Safeguarding obligation analysis artifact IDoptional
safeguardingObligationAnalysisArtifactIdEnter safeguarding obligation analysis artifact id.
ASC 450-20 or IAS 37 loss-contingency analysis artifact IDoptional
lossContingencyAnalysisArtifactIdEnter asc 450-20 or ias 37 loss-contingency analysis artifact id.
SAB 122 transition and effects disclosure artifact IDoptional
sab122TransitionDisclosureArtifactIdEnter sab 122 transition and effects disclosure artifact id.
Step 4 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 4
Complete the Custody fields. Each value is validated against the schema before the next step unlocks.
Broker-dealer carries crypto asset securities for customers (required)
carriesCryptoAssetSecuritiesForCustomersEnter broker-dealer carries crypto asset securities for customers.
Rule 15c3-3 crypto-security custody control artifact IDoptional
brokerDealerCustodyControlArtifactIdEnter rule 15c3-3 crypto-security custody control artifact id.
Step 5 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 5
Complete the Accounting fields. Each value is validated against the schema before the next step unlocks.
Holdings, quantity, cost, and fair-value artifact ID (required)
holdingsAndFairValueArtifactIdEnter holdings, quantity, cost, and fair-value artifact id.
Financial-statement recognition and measurement artifact ID (required)
financialStatementAccountingArtifactIdEnter financial-statement recognition and measurement artifact id.
Step 6 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 6
Complete the Disclosure fields. Each value is validated against the schema before the next step unlocks.
Regulation S-K Item 101 business disclosure artifact ID (required)
businessDisclosureArtifactIdEnter regulation s-k item 101 business disclosure artifact id.
Regulation S-K Item 105 risk-factor disclosure artifact ID (required)
riskFactorDisclosureArtifactIdEnter regulation s-k item 105 risk-factor disclosure artifact id.
Regulation S-K Item 303 MD&A disclosure artifact ID (required)
mdnaDisclosureArtifactIdEnter regulation s-k item 303 md&a disclosure artifact id.
Step 7 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 7
Complete the Risk fields. Each value is validated against the schema before the next step unlocks.
Private-key, wallet, network, incident, and cyber controls artifact ID (required)
keysAndCyberControlsArtifactIdEnter private-key, wallet, network, incident, and cyber controls artifact id.
Legal ownership, customer terms, and bankruptcy treatment artifact ID (required)
legalOwnershipAndBankruptcyArtifactIdEnter legal ownership, customer terms, and bankruptcy treatment artifact id.
Custodian and counterparty due-diligence artifact ID (required)
custodianAndCounterpartyArtifactIdEnter custodian and counterparty due-diligence artifact id.
Asset, network, custodian, counterparty, and liquidity concentration artifact ID (required)
concentrationAndLiquidityArtifactIdEnter asset, network, custodian, counterparty, and liquidity concentration artifact id.
Step 8 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 8
Complete the Related Activity fields. Each value is validated against the schema before the next step unlocks.
Inventory includes staking or airdrop activity (required)
hasStakingOrAirdropActivityEnter inventory includes staking or airdrop activity.
Linked staking and airdrop assessment IDoptional
stakingAirdropWorkflowIdEnter linked staking and airdrop assessment id.
Step 9 of 9
ScreenSEC › SEC Workflows › Digital asset accounting, custody, and disclosure reviewstep 9
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Approved SEC disclosure or no-filing route artifact ID (required)
disclosureRouteArtifactIdEnter approved sec disclosure or no-filing route artifact id.
Securities-law approval artifact ID (required)
legalApprovalArtifactIdEnter securities-law approval artifact id.
Accounting-policy approval artifact ID (required)
accountingApprovalArtifactIdEnter accounting-policy approval artifact id.
Cyber-risk approval artifact ID (required)
cyberRiskApprovalArtifactIdEnter cyber-risk approval artifact id.
Disclosure-committee approval artifact ID (required)
disclosureCommitteeApprovalArtifactIdEnter disclosure-committee approval artifact 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 & 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.
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