Financial Services Licensing & Regulatory Registration

Licensing & Regulatory Filings for Digital Asset Businesses

Katten's regulatory practice provides comprehensive licensing and regulatory filing services for cryptoasset businesses, exchanges, broker-dealers, and investment funds. With team members who are former regulators from SEC, FINRA, CFTC, and DOJ, the firm brings insider perspective to regulatory strategy.

Money Transmission & Payment Services

Money Transmission Compliance: Money transmission regulations analysis and compliance, state-by-state Money Transmitter License (MTL) applications, and regulatory strategy for payment service providers in the digital asset space.

Exchange & Trading Platform Licensing

Exchange Registrations: Regulatory filings for crypto exchanges and trading platforms, clearing organization applications and approvals, and execution facility registrations. Notable achievement: First CFTC approval for a client to operate as both execution facility and clearing organization for bitcoin-based derivative contracts.

Broker-Dealer Applications: SEC broker-dealer registration applications, FINRA membership applications and ongoing compliance, and regulatory strategy for digital asset intermediaries.

Investment Management Licensing

Regulated Funds: Regulatory compliance for investment funds including crypto asset funds, SEC registration and compliance for investment advisers, and fund formation with regulatory filing support.

Investment Manager Registration: Representation of global investment banks, investment advisers, alternative investment managers, commodity trading advisors and proprietary trading firms in regulatory matters and licensing applications.

Ongoing Regulatory Compliance

Regulatory Filings & Renewals: License renewals and ongoing regulatory filings, correspondence with regulators and regulatory examination support, and strategic regulatory advisory for evolving compliance requirements.

The firm serves exchanges, clearing organizations, broker-dealers, investment funds, and other financial services entities navigating the complex regulatory landscape for digital assets.