Issuer Hub FAQ: Tokenized Securities Issuance and Management

Issuer Hub is the application businesses, broker-dealers, transfer agents and asset managers use to prepare securities offerings, tokenize existing holdings, administer cap tables, distribute securities and manage issuer-related activities.

Issuer Hub is designed for private and public companies, financial intermediaries like broker-dealers, fund managers, asset managers, financial institutions and their authorized representatives. Existing transfer agents may also participate where they are engaged to assist an issuer.

Yes. Issuer Hub enables issuers, asset managers and financial intermediaries to launch new tokenized securities offerings, distribute securities to investors and tokenize existing securities without requiring additional investments from current securityholders.

OnchainTA can tokenize conventional securities, including common shares, preferred stock, fund or LLC interests, debt securities and certain securities-based options, while preserving their existing rights and restrictions. Tokenization does not change the legal rights attached to a security or make it freely transferable.

Yes. Issuer Hub helps companies and funds prepare offerings, invite investors, process subscriptions and distribute tokenized securities. The issuer is responsible for the offering and its legal requirements. OnchainTA provides the technology and transfer-agent services; it does not act as a broker-dealer or investment adviser.

Yes. Issuer Hub supports securities offerings under Regulation D, including Rules 506(b) and 506(c), Regulation S and other SEC exemptions. It also supports the resale and transfer of securities under Rule 144 and Rule 144A, subject to applicable securities laws and transfer restrictions.

Yes. Depending on the offering, investors can pay through traditional off-chain methods like wire transfer or with digital assets such as USDC. Escrow arrangements can be incorporated where required.

Yes. Issuers can use the platform to distribute tokenized shares, RSUs, options and other equity awards to employees. The company’s equity plan governs vesting, exercise, tax withholding and transfer restrictions.

Yes. Issuers can view their cap table and manage ownership information for securities administered through the platform. This capability in the Issuer Hub is different from DigitalCapTable, which privately reconciles reported investment relationships across SPVs and other intermediaries, while maintaining confidentiality of the data.

Investor onboarding depends on the securities regulations governing the offering. Issuers can invite investors directly or publicly solicit investors where permitted.

• Regulation D, Rule 506(b): Issuers cannot use general solicitation. A pre-existing substantive relationship with an investor is one way to demonstrate that an invitation does not involve general solicitation.
• Regulation D, Rule 506(c): Issuers can publicly advertise their offerings and invite investors. All purchasers must be verified accredited investors.
• Regulation A: Issuers can publicly advertise their offerings and invite both accredited and non-accredited investors.
• Regulation Crowdfunding (Reg CF): Issuers can reach accredited and non-accredited investors through an SEC-registered funding portal or broker-dealer. OnchainTA can provide technology to these intermediaries. Public advertising is permitted subject to Reg CF restrictions.
• Regulation S: Issuers can offer securities to investors outside the United States, subject to Regulation S restrictions and applicable foreign securities laws.
• SEC-Registered Public Offerings: Companies and registered investment companies, including mutual funds, can publicly market their registered securities offerings and accept investments from retail and institutional investors, subject to applicable offering and investor requirements.

Investors register through OnchainTA's Investor Portal, complete the required verification and participate in the offering according to its terms. Issuer Hub also allows issuers to invite investors directly to their offerings by sending invitations to investors whose email addresses they already have, subject to the applicable securities regulations.

No. OnchainTA can integrate with existing systems and transfer agents through APIs. The issuer and its service providers determine the responsibilities and records that must stay synchronized.

Issuer Hub and OnchainTA’s transfer-agent services continue after issuance. Issuers can maintain ownership records, administer dividends and interest payments, process transfers and manage stock splits, redemptions and other corporate actions.

OnchainTA uses investor checks, wallet allowlists, transfer permissions and smart-contract rules to enforce configured restrictions. These controls support compliance but do not replace the issuer’s and transfer agent’s legal responsibilities.

Yes. Issuer Hub is designed to help public companies issue or tokenize shares and administer their digital ownership records. OnchainTA works with DTC and supports DRS for tokenized securities.

Authorized issuers and their representatives sign in through Issuer Hub. The public website explains the service and provides the login and contact links.