5 hours ago
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Key Takeaways
Tokenization listed alongside Treasury clearing reform risks
Exam program covers more than 34,000 registrants
OTC Link fined $575,000 over Regulation SCI
SEC’s tokenized-stock exemption came five weeks earlier
The Division of Examinations published the priorities on October 23.
One line in a list of eight
Tokenization sits in the SEC’s list of key focus areas under risks tied to evolving market infrastructure, next to Treasury clearing reforms. The program covers the fiscal year that began on October 1 and more than 34,000 registrants, from investment advisers and broker-dealers to clearing agencies and transfer agents. Other priorities range from private credit and cybersecurity to emerging technologies, including what the SEC calls super intelligence.
According to the full priorities document, tokenization comes up in two areas. C...
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