Digital Asset Securities: A Legal Field Guide for Builders

This session is a practical briefing on digital-asset and tokenized-securities market structure—what’s real today, what’s changing, and how to launch and operate on compliant rails. We cover offering paths (Reg D, Reg A+, Reg S, and Reg CF), the mechanics of secondary trading through ATSs and broker-dealers with transfer-agent reconciliation, and custody and control considerations under Rule 15c3-3. We also walk through the core compliance stack—AML/KYC, wallet whitelisting, and permissioned transfers—along with high-level notes on entity choices and governance. We close with enforcement and risk themes across SEC, CFTC, FINRA, and DOJ, plus clear takeaways and resources.

The talk is led by Braeden Anderson, Partner at Gesmer Updegrove LLP and head of the firm’s Securities Enforcement & Investigations practice. He represents public companies, fintechs, broker-dealers/ATSs, and founders with a focus on digital-asset and tokenized-securities market structure, offering design, custody and transfer-agent frameworks, and secondary trading issues.

For inquiries or speaking requests, contact braeden.anderson@gesmer.com or visit https://www.gesmer.com

Disclaimer: This content is for educational purposes only and does not constitute legal advice. Views are the speaker’s own.

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