Step 1 of 8: Identity
SEC Filings & Disclosure
Regulations S-K, S-X, G & FDSelect participant role and cash, repo, or combined track; bind the assessment to current compliance-date evidence; classify the complete transaction population and operative exclusions or relief; review access, margin, reserve, testing, exceptions, and approvals; and record an assessment rather than inventing an SEC filing.
Basis: Market infrastructure
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
8 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Treasury-market participant (required)
entityIdSelect the legal entity whose clearing obligations and operating model are being assessed. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Step 2 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 2
Complete the Scope fields. Each value is validated against the schema before the next step unlocks.
Participant role (required)
participantRoleEnter participant role.
Clearing track (required)
trackCash and repo have different currently operative compliance dates.
Assessment as-of date (required)
assessmentAsOfEnter assessment as-of date.
Current cash/repo compliance-date evidence artifact ID (required)
complianceDateEvidenceArtifactIdEnter current cash/repo compliance-date evidence artifact id.
Rule and participant applicability analysis artifact ID (required)
applicabilityAnalysisArtifactIdEnter rule and participant applicability analysis artifact id.
Step 3 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 3
Complete the Classification fields. Each value is validated against the schema before the next step unlocks.
Complete Treasury transaction population artifact ID (required)
transactionPopulationArtifactIdEnter complete treasury transaction population artifact id.
Eligible secondary-market transaction classification artifact ID (required)
eligibilityClassificationArtifactIdEnter eligible secondary-market transaction classification artifact id.
Exclusions and currently operative exemptive relief artifact ID (required)
exclusionAndReliefAnalysisArtifactIdEnter exclusions and currently operative exemptive relief artifact id.
Step 4 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 4
Complete the Access fields. Each value is validated against the schema before the next step unlocks.
Direct or indirect clearing access-model artifact ID (required)
clearingAccessModelArtifactIdEnter direct or indirect clearing access-model artifact id.
Onboarding, account, give-up, and clearing agreement artifact ID (required)
onboardingAndAgreementArtifactIdEnter onboarding, account, give-up, and clearing agreement artifact id.
Step 5 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 5
Complete the Covered Agency fields. Each value is validated against the schema before the next step unlocks.
Covered-agency submission policies artifact IDoptional
submissionPoliciesArtifactIdEnter covered-agency submission policies artifact id.
Participant submission monitoring and failure response artifact IDoptional
participantMonitoringArtifactIdEnter participant submission monitoring and failure response artifact id.
Step 6 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 6
Complete the Margin fields. Each value is validated against the schema before the next step unlocks.
House/customer margin-separation evidence applies (required)
marginSeparationApplicableEnter house/customer margin-separation evidence applies.
House/customer margin-separation artifact IDoptional
marginSeparationArtifactIdEnter house/customer margin-separation artifact id.
Broker-dealer uses the amended reserve-formula treatment (required)
reserveFormulaTreatmentUsedEnter broker-dealer uses the amended reserve-formula treatment.
Rule 15c3-3 reserve-formula treatment artifact IDoptional
reserveFormulaEvidenceArtifactIdEnter rule 15c3-3 reserve-formula treatment artifact id.
Step 7 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 7
Complete the Testing fields. Each value is validated against the schema before the next step unlocks.
End-to-end clearing and exception testing artifact ID (required)
operationalTestingArtifactIdEnter end-to-end clearing and exception testing artifact id.
Unresolved clearing exceptions (required)
unresolvedExceptionCountEnter unresolved clearing exceptions.
Exception remediation plan artifact IDoptional
remediationPlanArtifactIdEnter exception remediation plan artifact id.
Step 8 of 8
ScreenSEC › SEC Workflows › U.S. Treasury central-clearing readinessstep 8
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Legal applicability and exclusion approval artifact ID (required)
legalApprovalArtifactIdEnter legal applicability and exclusion approval artifact id.
Accountable officer approval artifact ID (required)
accountableOfficerApprovalArtifactIdEnter accountable officer 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 & 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