Key Takeaways
- • Oasis Pro Markets receives comprehensive FINRA authorization to offer tokenized corporate equities, ETFs, mutual funds, and index funds to U.S. institutional and retail investors under SEC and FINRA oversight, enabling OTC retailing, underwritten primary offerings, and secondary market trading.
- • First tokenization platform to join DTCC's Fund/SERV network, providing Oasis Pro Markets standardized connectivity to fund companies, wealth platforms, and service providers across the operational backbone of the U.S. fund industry, which handles over 85% of U.S. mutual fund assets.
- • Dual settlement capability allows transactions to settle in fiat currencies or supported stablecoins, including direct blockchain-wallet-to-wallet transfers, expanding payment optionality for institutional and retail participants.
- • Integrated regulatory infrastructure combines SEC-registered broker-dealer status, SEC-registered alternative trading system (ATS), and SEC-registered transfer agent capabilities (Oasis Pro TA) to support onchain capitalization tables, shareholder rights, and cross-asset collateral mobility.
- • Omnibus account support enables integrations with existing broker-dealer and advisory distribution channels, allowing institutional intermediaries to offer tokenized securities to their client bases without requiring direct platform infrastructure.
Summary
Ondo Finance's SEC-registered broker-dealer subsidiary, Oasis Pro Markets, has secured regulatory authorization from FINRA to launch a compliant platform for tokenized securities in the United States. The approvals permit Oasis Pro Markets to offer tokenized corporate equities and fund products—including ETFs, mutual funds, and index funds—to both U.S. financial institutions and retail investors through multiple market structures: OTC retailing, underwritten primary offerings, private placements, and secondary trading. These authorizations represent a significant milestone in the institutional adoption of tokenized securities, establishing a fully regulated framework for asset tokenization within existing U.S. securities markets.
The regulatory framework establishes settlement flexibility previously unavailable in traditional securities markets. Transactions can settle using fiat currency or supported stablecoins, including direct transfers between blockchain-based wallets, while maintaining full SEC and FINRA compliance. This dual-settlement capability addresses a core infrastructure challenge in tokenized assets: achieving institutional-grade settlement without requiring participants to bridge between blockchain and traditional financial rails.
Complementing these FINRA authorizations, Oasis Pro Markets has become the first tokenization platform admitted to the Depository Trust & Clearing Corporation's (DTCC) Fund/SERV network. This membership provides direct connectivity to the operational infrastructure serving the U.S. fund industry, which processes over 85% of U.S. mutual fund assets. Fund/SERV access grants Oasis Pro Markets standardized connections to fund companies, wealth management platforms, and service providers, enabling seamless integration with existing institutional distribution channels without requiring those intermediaries to build proprietary tokenization infrastructure.
The platform infrastructure consolidates regulatory oversight across three critical components: broker-dealer operations, alternative trading system functionality, and transfer agent services through Oasis Pro TA. The transfer agent capability specifically supports digital asset services including onchain capitalization table management, shareholder rights administration, and cross-asset collateral mobility—operational requirements absent from traditional securities infrastructure. Omnibus account structures enable wealth advisors and broker-dealers to offer tokenized securities to their client bases through existing relationships, removing direct platform dependencies for institutional intermediaries.
These developments establish Ondo Finance as the primary institutional infrastructure provider for U.S. tokenized securities, combining regulatory authorization with access to the existing settlement and distribution backbone of the securities industry.
The regulatory framework establishes settlement flexibility previously unavailable in traditional securities markets. Transactions can settle using fiat currency or supported stablecoins, including direct transfers between blockchain-based wallets, while maintaining full SEC and FINRA compliance. This dual-settlement capability addresses a core infrastructure challenge in tokenized assets: achieving institutional-grade settlement without requiring participants to bridge between blockchain and traditional financial rails.
Complementing these FINRA authorizations, Oasis Pro Markets has become the first tokenization platform admitted to the Depository Trust & Clearing Corporation's (DTCC) Fund/SERV network. This membership provides direct connectivity to the operational infrastructure serving the U.S. fund industry, which processes over 85% of U.S. mutual fund assets. Fund/SERV access grants Oasis Pro Markets standardized connections to fund companies, wealth management platforms, and service providers, enabling seamless integration with existing institutional distribution channels without requiring those intermediaries to build proprietary tokenization infrastructure.
The platform infrastructure consolidates regulatory oversight across three critical components: broker-dealer operations, alternative trading system functionality, and transfer agent services through Oasis Pro TA. The transfer agent capability specifically supports digital asset services including onchain capitalization table management, shareholder rights administration, and cross-asset collateral mobility—operational requirements absent from traditional securities infrastructure. Omnibus account structures enable wealth advisors and broker-dealers to offer tokenized securities to their client bases through existing relationships, removing direct platform dependencies for institutional intermediaries.
These developments establish Ondo Finance as the primary institutional infrastructure provider for U.S. tokenized securities, combining regulatory authorization with access to the existing settlement and distribution backbone of the securities industry.
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