Crypto / Blockchain / Digital Asset Broker-Dealer Applications

Why Partner with RND for Digital Asset Registration?

Establishing a broker-dealer in the digital asset space requires navigating uncharted regulatory territory. FINRA, the SEC, and state regulators are still developing frameworks for crypto securities trading. RND Compliance brings proven experience in bringing digital asset firms from concept to regulatory approval and successful launch.

Our Digital Asset Broker-Dealer Services:

Registration & Licensing

• FINRA broker-dealer membership applications tailored for digital asset trading
• SEC registration and Form BD preparation with crypto-specific disclosures
• State securities registration coordination across multiple jurisdictions
• Alternative Trading System (ATS) registration for digital security platforms

Regulatory Framework Design

• Written Supervisory Procedures addressing blockchain custody and settlement
• AML/KYC programs adapted for digital asset transactions
• Cybersecurity protocols meeting SEC and FINRA requirements
• Customer protection rule compliance for digital securities

Ongoing Compliance Support

• Financial Operations Principal (FINOP) services for digital asset firms
• Net capital calculations incorporating cryptocurrency positions
• FOCUS report preparation with digital asset holdings
• Regulatory examination preparation and response

Blockchain & Custody Solutions

• Private key management policies and procedures
• Multi-signature wallet protocols and documentation
• Hot/cold storage supervision frameworks
• Digital asset segregation and customer protection

Why Digital Asset Firms Choose RND:

Proven Track Record – We’ve successfully guided digital asset firms through the complete regulatory approval process, from initial application to operational launch and beyond.

Deep Regulatory Knowledge – We understand both traditional broker-dealer regulation and emerging digital asset guidance from FINRA, SEC, and FinCEN, with hands-on experience navigating novel issues unique to crypto securities.

Regulator Relationships – Our established relationships with FINRA membership and SEC staff help address the complex questions that arise in digital asset applications, accelerating the approval process.

Technology-Forward Approach – We understand distributed ledger technology, smart contracts, and blockchain settlement—enabling us to translate technical operations into compliant regulatory frameworks that satisfy regulators while preserving operational innovation.

End-to-End Expertise – From initial business model review through launch and ongoing compliance, we provide integrated support at every stage of your digital asset broker-dealer journey.