97 comprehensive guides covering everything trading platform founders need to know about SEC, CFTC, FinCEN, and state regulations. Free, detailed, and built for builders.
Building a trading platform means navigating a maze of overlapping regulators. This hub is your map.
Trading technology sits at the intersection of securities law, commodities regulation, money transmission, and anti-money laundering rules. Miss one requirement and you're facing enforcement action, fines, or worse.
One comprehensive resource that covers all the regulators, all the requirements, and all the edge cases. Written by an attorney who's helped dozens of trading platforms navigate this landscape.
Founders building algo trading platforms, copy trading apps, robo-advisors, crypto exchanges, and any technology that touches financial markets. From pre-launch to scaling.
This hub is built by a tech lawyer who is also an active trader. I've traded futures, options, and crypto. I've built trading tools. I understand the difference between a market order and a limit order, between spot and perpetuals, between a stop-loss and a trailing stop. When I write about algo trading compliance, I'm not just citing statutes - I'm explaining what they mean for the code you're actually writing.
Trading platforms typically deal with 4-6 regulators. Here's who's watching.
97 guides organized into 10 categories, plus interactive tools and checklists.
Broker-dealer vs RIA analysis, CTA/CPO registration, state money transmitter requirements, FinCEN MSB registration. Every path explained with step-by-step timelines.
Start with BD vs RIA →SEC vs CFTC jurisdiction flowcharts, hybrid regulatory strategies, custodial vs non-custodial analysis, DAO legal structures. Know which regulator has authority.
SEC vs CFTC Guide →AML program requirements, KYC/CIP implementation, SAR filing, CTR obligations, travel rule for crypto, OFAC sanctions screening, beneficial ownership.
AML Program Guide →Howey test deep dives, token classification, stablecoin regulation, NFT securities analysis, DEX regulatory status, smart contracts as securities.
Howey Test Guide →Platform terms of service templates, API licensing for trading data, user agreements, GDPR/CCPA compliance, insurance requirements, founder equity structures.
TOS Template →Algo trading launch checklist, token launch playbook, broker partnership guide, first 100 users legally, SEC RIA registration kit, CFTC CTA startup kit.
Launch Checklist →Regulatory breakdown - Which agencies have jurisdiction and what they require.
Compliance checklist - Actionable items to check off.
Real examples - How other platforms handled it (and enforcement actions when they didn't).
Timeline estimates - How long registration and compliance typically takes.
Cost ranges - Budget expectations for legal, filing, and ongoing compliance.
Start with your platform type, then follow the compliance roadmap.
Are you building a robo-advisor? Algo trading platform? Copy trading app? Crypto exchange? Each has different regulatory requirements. Start with the Broker-Dealer vs RIA or SEC vs CFTC Jurisdiction guide to map your regulatory landscape.
Do you hold customer funds or assets? This single question changes everything. Review the Custodial vs Non-Custodial guide and understand how custody affects money transmitter, broker-dealer, and qualified custodian requirements.
Use the hub's jurisdiction guides to determine which federal and state registrations you need. SEC/FINRA? CFTC/NFA? State money transmitter licenses? FinCEN MSB? Most platforms need 2-4 registrations minimum.
Once you know your registrations, work through the compliance guides: AML program, KYC implementation, recordkeeping, advertising rules, suitability requirements. The Algo Trading Launch Checklist ties it all together.
The Interactive Workbench helps you configure your platform's regulatory profile. Input your features, custody model, and target markets - get a customized compliance checklist and registration roadmap.
97 guides across 10 categories. Click any guide to read.
Configure your platform's features and get a customized compliance roadmap.
Input your platform type, features, custody model, and target markets. The workbench generates a personalized list of required registrations and compliance steps.
Open Workbench →Select your platform's features and see which regulators have jurisdiction. SEC? CFTC? Both? Neither? The mapper shows exactly who's watching and why.
Map Jurisdiction →Downloadable checklists for each registration type. Track your progress from initial application through ongoing compliance obligations.
Get Checklists →Not sure where to begin? The workbench includes a decision tree that asks simple questions about your platform and directs you to the right guides. It takes 5 minutes and saves hours of research.
Common questions about the Trading Technology Legal Hub.
No. The hub provides educational information about trading technology regulations. It's designed to help you understand the regulatory landscape and ask the right questions. For advice specific to your situation, consult with a securities attorney.
Two reasons. First, I believe founders should understand the regulatory landscape before spending $50K+ on legal fees. Second, founders who use this resource often become clients for implementation work - custom filings, ongoing compliance, exemption analysis.
Guides are updated as regulations change. Each guide shows its last update date. For rapidly evolving areas (crypto, AI), I prioritize keeping those guides current. If you notice something outdated, email me.
Most platforms are hybrid - they touch multiple regulatory regimes. Start with the Hybrid Regulatory Strategies guide. If you're still stuck, use the contact form and describe your platform.
Yes. I help trading platforms with registration applications, compliance program development, ongoing advisory, and regulatory response. Book a consultation to discuss your project.
The hub focuses on U.S. regulations but includes guides on MiFID II (EU), FCA (UK), MAS (Singapore), ASIC (Australia), and CSA (Canada). Cross-border marketing and offshore structuring are also covered.
Start with the hub. When you need hands-on help with registration, compliance, or regulatory strategy, I'm here.