U.S. Financial Licence Applications · SEC RIA · MSB · MTL · STO · Nationwide Corporate Services

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U.S. Financial Licences · Topic Index

U.S. FINANCIAL REGULATORY GUIDES

Clarify the business boundaries and find a suitable compliance pathway

Read about federal registration, state licensing, and securities and derivatives business according to your business model. Registration, licensing and offering compliance are not the same concept.

8 Business topic5 Business classification

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Payments and remittances

US MSB registration

Money Services Business

Clarifying the compliance starting point for US money services businesses, from business classification and federal registration to an anti-money laundering framework.

Regulatory authority:FinCEN

Federal registrationAML / BSA

Payments and remittances

US state MTL licences

Money Transmitter License

Cover the states in which business is actually conducted and customers or funds flow, integrating surety bond, net worth, and ongoing filing requirements.

Regulatory authority:State financial regulators

State-level licensingNMLS

Securities and investment

SEC / State-level RIA registration

Registered Investment Adviser

Plan registration and ongoing compliance around the investment advisory business, assets under management and fiduciary duties.

Regulatory authority:SEC / State securities regulators

Investment adviserForm ADV

Securities and investment

Securities broker-dealer licence

SEC / FINRA Broker-Dealer

Securities intermediary admission, membership applications, capital and key-person qualifications, coordinated with trading and operational arrangements.

Regulatory authority:SEC · FINRA

Securities intermediariesFINRA member

Virtual assets

New York virtual currency licence

New York Virtual Currency License

For virtual currency activities related to New York, map capital, custody, cybersecurity and consumer protection.

Regulatory authority:NYDFS

New York StateVirtual currency

Virtual assets

Security token offering compliance

Security Token Offering

Distinguish offering registration from exemptions, investor scope and securities circulation; do not mischaracterise an STO as a single licence.

Regulatory authority:SEC / States

Securities issuanceReg D / S / A / CF

Futures and derivatives

CFTC / NFA regulated registrations

Futures & Derivatives Registration

Distinguish business classifications such as FCM, IB, CTA, CPO, and RFED, and address personnel and maintenance requirements for each.

Regulatory authority:CFTC · NFA

Futures derivativesClassification registration

Other Financial Licences

Other US Financial Licences

Other US Financial Authorizations

Read topic areas such as bank trusts, insurance, mortgage lending and securities infrastructure by regulatory nature.

Regulatory authority:Federal / State / Self-Regulatory Organisation

Classification master indexAssess according to the business

LET’S DISCUSS YOUR BUSINESS

First map out the business, then define a compliance pathway

Describe your business model, customer locations and project stage, and discuss application, acquisition or company-maintenance arrangements with 唐生.

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SERVICE COVERAGE · GLOBAL REGULATORY SERVICES

Rooted in US business, connecting global compliance services.

Global Services Overview

HONG KONG & ASIA

Hong Kong · Asian markets

Hong Kong SFC-licensed corporation Hong Kong MSO money services Hong Kong SVF stored-value payments Hong Kong precious metals and stones dealers

NORTH AMERICA

United States · Canada

Master Index of U.S. Financial Qualifications US MSB registration topic US state-level MTL licensing Canada MSB Registration and Maintenance

EUROPE & PAYMENT

Europe · Payment services

International Payment Institution Applications and Compliance One-Stop Guide to Global Financial Licensing Assessment of cross-border business and licence scope Licence acquisition and transfer assessment

SECURITIES & DIGITAL ASSETS

Securities · virtual assets

US RIA investment adviser US STO offering compliance Global Virtual Asset Licensing Group Financial Compliance Services

The above are topic and service navigation pages under the Rengangyongsheng brand. Financial qualifications in different jurisdictions are not interchangeable. The specific country, business and service scope must be assessed separately; this page does not indicate that the group itself holds all of the qualifications listed above.