Plume's SEC Approval Bridges DeFi and Regulated Markets with On-Chain Compliance

Plume Network, a modular Layer 2 blockchain platform focused on real-world assets (RWAs), has secured registration with the U.S. Securities and Exchange Commission (SEC) as a transfer agent, marking a pivotal step in bridging decentralized finance (DeFi) with regulated capital marketsPlume Network Registered by SEC as Transfer Agent for Tokenized Securities^[1]. This designation enables Plume to manage digital securities, shareholder records, and corporate actions directly on-chain, while integrating with the U.S. Depository Trust & Clearing Corporation (DTCC) settlement networkPlume Network Gains SEC Approval As Transfer Agent For RWAs^[2]. The move aligns with the firm's mission to tokenize traditional financial instruments, reducing the time required for securities tokenization from months to weeks via smart contract automationPlume Network Registers with SEC as Transfer Agent^[3].

As a registered transfer agent, Plume now operates within a regulatory framework that supports on-chain issuance of digital securities, including on-chain IPOs, small-cap fundraising, and registered fundsPlume Network Receives SEC Transfer Agent Status to Bring TradFi Onchain^[4]. The platform's technology automates back-office functions such as shareholder registry maintenance, ownership transfer recording, and dividend distribution, offering a transparent and immutable ledger for asset managementPlume Network Registered by SEC as Transfer Agent for Tokenized Securities^[5]. CEO Chris Yin emphasized that the SEC registration reinforces investor protections while streamlining compliance, stating, "This protocol builds a direct bridge between issuers, investors, and regulators"Plume Network Gains SEC Approval As Transfer Agent For RWAs^[6].

Plume's infrastructure has already attracted interest from SEC-registered 40 Act funds, which manage over $39 trillion in traditional assetsPlume Network Registers with SEC as Transfer Agent^[7]. The firm anticipates regulatory hurdles, such as asset custody challenges, will diminish as the SEC proposes new rules in 2026 and finalizes them by 2027Plume Network Registered by SEC as Transfer Agent for Tokenized Securities^[8]. Plume's Nest Protocol, a key component of its ecosystem, allows fund managers to create yield-generating vaults backed by regulated financial instruments. Users can deposit stablecoins into these vaults to earn returns from tokenized real-world assets, further expanding access to institutional-grade opportunitiesPlume Network Gains SEC Approval As Transfer Agent For RWAs^[9].

The platform's regulatory alignment positions it to address the growing demand for tokenized securities. With over $62 million in tokenized assets processed through its Nest Credit protocol, Plume is preparing to launch its first product suite in Q1 2026Plume Network Registers with SEC as Transfer Agent^[10]. These offerings include tokenized vaults designed to facilitate on-chain fundraising and investor engagement, supported by a roadmap to secure Alternative Trading System (ATS) and broker-dealer licensesPlume Network Registered by SEC as Transfer Agent for Tokenized Securities^[11]. The firm's collaboration with regulators, including contributions to the GENIUS Act discussions, underscores its commitment to shaping compliant on-chain capital marketsPlume Network Gains SEC Approval As Transfer Agent For RWAs^[12].

Plume's SEC registration reflects broader market trends toward tokenizing traditional assets, particularly in low-risk, yield-bearing instruments like U.S. Treasury bills and private credit productsPlume Network Receives SEC Transfer Agent Status to Bring TradFi Onchain^[13]. However, the platform envisions expanding beyond fixed-income assets to tokenized equities, a space where platforms like Robinhood and Kraken are also exploring opportunities. As regulatory frameworks evolve, tokenized securities could redefine corporate governance and investor engagement, offering real-time transparency in cap tables and corporate actionsPlume Network Registers with SEC as Transfer Agent^[14].