Broker-Dealer Resource Library
31 institutional-grade documents across 6 categories — platform overview, RWA frameworks, regulatory guides, stablecoin infrastructure, investor templates, and due diligence packages.
Platform Overview
5 documentsCapabilities, architecture, and partnership materials for broker-dealers evaluating FTH Capital Markets.
Platform Overview & Capabilities Deck
START HEREFull walkthrough of all 100+ modules, infrastructure, and settlement capabilities. Start here.
Broker-Dealer Partnership Program
POPULARRevenue share, co-branding, white-label licensing, and referral structure for FINRA-registered BDs.
Technology Architecture Summary
TECHNICALHigh-level system architecture: Rust engine, custody integrations, oracle stack, and chain topology.
Fee Schedule & Commission Structure
COMMERCIALPlatform fees, transaction costs, custody charges, and broker-dealer commission grid.
Competitive Landscape Analysis
MARKETHow FTH Capital Markets compares to Securitize, Ondo, Maple, Tokena, and traditional prime brokers.
RWA & Tokenization
6 documentsFrameworks, sample documents, and technical guides for real-world asset tokenization on all supported chains.
RWA Tokenization Framework
CORE DOCEnd-to-end tokenization process: legal structuring, smart contract deployment, token registry, and lifecycle.
Sample Offering Memorandum — Real Estate
SAMPLEAnnotated sample OM for a Reg D 506(c) tokenized real estate fund. Redacted for public review.
Smart Contract Audit Summary
SECURITYSecurity audit coverage for EVM, XRPL, and Stellar token contracts. Conducted by independent auditors.
Digital Asset Custody Guide
CUSTODYFireblocks MPC, BitGo, and Anchorage custody workflows for tokenized assets — roles, thresholds, and failover.
Token Economics & Distribution Model
ECONOMICSYield calculation, coupon mechanics, reserve reporting, and Chainlink Proof of Reserve integration.
Multi-Chain Asset Registry Overview
TECHNICALHow assets are tracked across ETH, Polygon, XRPL, Stellar, and Apostle Chain simultaneously.
Regulatory & Compliance
7 documentsSEC exemption guides, FINRA requirements, AML procedures, and filing checklists for compliant private placements.
Reg D 506(c) Offering Framework
REG DComplete guide to general solicitation offerings: accreditation verification, Form D, advertising rules, and timeline.
Reg D 506(b) Offering Framework
REG DNon-general solicitation structure: up to 35 sophisticated non-accredited investors, disclosures, and suitability.
Regulation S Offshore Offering Guide
REG SNon-US person transactions: Category 1/2/3, distribution compliance periods, and offshore fund structuring.
ATS Regulatory Compliance Overview
ATSAlternative Trading System registration, Reg ATS requirements, order display, and fair access obligations.
KYC/AML Procedures Manual
COMPLIANCEPersona KYC, Middesk KYB, ComplyAdvantage AML, FinCEN SAR, and BSA procedures in the FTH platform.
Reg BI Suitability & Best Interest Guide
FINRARegulation Best Interest obligations, conflict-of-interest disclosure, care and compliance obligations for BDs.
Blue Sky Filing Checklist
STATE REGState-by-state blue sky notice filing requirements for Reg D and Reg A+ offerings across all 50 states.
Stablecoin & Settlement
4 documentsInfrastructure guides and architecture documents for stablecoin-based RWA settlement and distribution.
Stablecoin Settlement Infrastructure Guide
CORE DOCComplete guide to USDC, USDT, USDF, DAI, RLUSD settlement across ATP, ETH, Polygon, XRPL, and Stellar.
Multi-Chain Settlement Architecture
TECHNICALTechnical deep-dive: rail selection, finality times, gas optimization, and fail-safe retry mechanisms.
Stablecoin Comparison Matrix
COMPARISONUSDC vs USDT vs USDF vs DAI vs RLUSD: reserves, regulation, chain support, and BD use-case fit.
FTH Pay Network Integration Guide
INTEGRATIONHow to connect the FTH Pay stablecoin network for instant investor distributions and zero-fee ATP settlement.
Investor Relations
5 documentsTemplates and checklists for investor onboarding, subscription execution, and accreditation verification.
Qualified Investor Accreditation Checklist
CHECKLISTDocumentation requirements for income, net worth, professional certification, and entity accreditation.
Subscription Agreement Template
TEMPLATEAnnotated sample subscription agreement for Reg D tokenized offerings. Legal review required before use.
Investor Onboarding Workflow Guide
WORKFLOWStep-by-step walkthrough of KYC, accreditation, subscription docs, and token allocation for new investors.
Form D Filing Guide
FILINGHow and when to file Form D with the SEC: timing, amendments, late filing consequences, and state notices.
Investor Communication Templates
TEMPLATESQuarterly update, distribution notice, capital call, and closing communication templates for tokenized offerings.
Due Diligence
4 documentsTechnical and regulatory due diligence packages for institutional investors and BD partners evaluating the platform.
Technical Due Diligence Package
NDAFull technical audit: system architecture, security posture, DR/BCP, and third-party integrations. NDA required.
Regulatory Due Diligence Checklist
CHECKLISTFINRA membership, SEC registration, ATS licensing, SIPC coverage, and audit trail documentation.
Cybersecurity & Data Protection Overview
SECURITYSOC 2 alignment, encryption standards, penetration testing cadence, and incident response procedures.
Financial Audit Trail Overview
COMPLIANCEVaultLedger WORM audit trail: hash-chaining, SEC 17a-4 compliance, and FINRA exam readiness.