Reader objective
Find primary regulatory sources and identify implementation questions requiring current counsel.
How to use this ledger
This page is an issue map, not legal advice. Each implementation should be checked against current rules, orders, releases, offering documents, contracts, and counsel. The ledger separates an official source from RIADeFi’s operational interpretation and records a review date.
Publication ruleNo headline is treated as a green light. A development enters the ledger only when a primary document identifies the authority, affected activity, and effective posture.
Open issue map
| Issue | Advisor implementation question | Primary authority |
|---|---|---|
| Asset status | What exactly is being recommended or traded? | SEC, CFTC, Congress, courts |
| Custody | Who has possession or authority, and under what arrangement? | SEC investment-management materials |
| Tokenized securities | What offering, transfer, holder, and intermediary rules apply? | SEC and offering documents |
| DeFi interaction | What activity does the adviser or client perform? | Fact-specific; multiple authorities |
| Communications | How are risks, performance, and services described? | SEC, state regulators, FINRA where applicable |
| Tax and reporting | What events and records must be captured? | IRS and Treasury |
Primary-source watchlist
U.S. Securities and Exchange CommissionCrypto Task ForceU.S. Securities and Exchange CommissionInvestment Management — Investment AdvisersCongress.govLegislation search: digital assetsFINRACrypto AssetsInternal Revenue ServiceDigital assetsCommodity Futures Trading CommissionDigital AssetsInvestor.govCrypto Assets
Review standard
Every future entry will record the document, publication and effective dates, affected party, changed obligation or permission, practical advisor implication, unresolved questions, reviewer, and superseded interpretation. Machine-readable entries are published at /regulation/ledger.json.
Primary and reference sources
- Crypto Task Force — U.S. Securities and Exchange Commission
- Investment Management — Investment Advisers — U.S. Securities and Exchange Commission
- Legislation search: digital assets — Congress.gov
- Crypto Assets — FINRA
- Digital assets — Internal Revenue Service
- Digital Assets — Commodity Futures Trading Commission
- Crypto Assets — Investor.gov