Category: Funds
Becoming a Registered Investment Adviser: Worth the Costs?
There is one question that often confronts venture capital firms as they grow more successful and encounter new opportunities: Should we register with the Securities and Exchange Commission (SEC)? While there is no one-size-fits-all response, and each firm will decide based on its own set of facts and circumstances, the […]
Form 144 Goes Digital
Venture capital and private equity funds with public companies in their portfolios – or whose principals sit on public company boards – are likely to be impacted by the new electronic filing requirements adopted by the Securities and Exchange Commission (SEC) for Form 144.
Why Crypto Fund Managers Are Distressed Over the SEC’s Newly Proposed Safeguarding Rule
Note: This post is not intended to be a comprehensive summary of the Safeguarding Rule. Rather, it is intended to highlight some of the key requirements for fund managers should the SEC adopt the rule, as well as immediate concerns raised by SEC statements in the proposing release. After five […]
Private Funds Near Top of List on SEC’s 2023 Examination Priorities
Each year, the Securities and Exchange Commission’s Division of Examinations publishes its examination priorities, alerting the industry to what likely will become the areas of deficiency most cited in deficiency letters or referred to the Division of Enforcement that year. The 2023 Examination Priorities were published last week, and for […]
Annual SEC Section 13 Filing Requirements for Venture, Private Equity Funds
Venture and private equity funds that own equity securities of public companies may have numerous Securities and Exchange Commission filing requirements, including filings based on the size of the holdings of a particular portfolio company, aggregate holdings of securities across all public portfolio companies, and filings triggered by the volume […]