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A New Venture: SEC Registration for Venture Capital Firms

A New Venture: SEC Registration for Venture Capital Firms
Monday, February 14, 2022 | 12:00 pm - 1:00 pm
Online registration is now closed. Please call Customer relations at 212 382 6663 to register or for assistance.
Program Fee:

$49 for Members | $99 for Nonmembers
Members who are Law Students, Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2020-2022), In-House/Corporate Counsel, Judges, and attorneys who practice within the Government, Academic or Not-for-Profit sectors attend this program for free.

CLE Credit:
New York: 1.0 Professional Practice
New Jersey: 1.0 General
California: 1.0 General
Pennsylvania: No Credit
Connecticut: Available to Licensed Attorneys

This program provides transitional/non-transitional credit to all attorneys


The 2010 Dodd-Frank Act generally required advisers to private equity and hedge funds to register with the SEC, but exempted advisers to venture capital funds from similar regulation regardless of the firm’s size and assets. Recently, many venture capital firms have chosen to voluntarily register with the SEC as an investment adviser, thereby voluntarily subjecting themselves to significant regulation and oversight. Our expert panel will explore this trend as well as the current regulatory environment, including:

  • Why VC firms are voluntarily registering
  • Details on the VC exemption and potential changes to the exemption by the SEC
  • Investor perspectives
  • The regulatory environment and likelihood of additional scrutiny being placed on VC advisers
  • The registration process, and steps venture capital firms and other investment advisers can take to stay ahead of potential regulatory changes
  • Specific issues unique to VC firms when becoming a registered adviser

Click Here to View Program Agenda & Faculty

Program Co-Chairs:
Adam Felsenthal,
General Counsel, Great Point Partners LLC
Scott Gluck, Duane Morris LLP

Sponsoring Association Committees:
Compliance, Patrick T. Campbell, Chair
Emerging Companies and Venture Capital, Angela D. Loc, Chair

New York City Bar 42 West 44th St New York, NY 10036

Monday, 14 February 2022


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