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Regulation
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Policy
January 2024
Registered investment adviser (RIA)
A registered investment adviser (RIA) is anyone whose work in the financial sector requires them to register with the SEC or a state securities authority.
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Venture Capital
January 2024
Form ADV
Form ADV is a disclosure document that all investment advisers must submit to the SEC and to relevant state securities regulators.
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Investors
September 2023
Cayman Islands AML & KYC requirements
This article covers what you need to know about anti-money laundering (AML) and know your customer (KYC) requirements for funds in the Cayman Islands.
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Founder Education
June 2023
Blue sky laws
Blue sky laws regulate security sales to protect public purchasers from fraud. Learn more about blue sky law regulations and exemptions for VCs.
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Investors
April 2023
Qualifying venture capital fund
A qualifying venture capital fund is private fund with no more than 250 beneficial owners and $12 million in assets. It also must meet the statutory definition of a venture capital fund.
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Policy
December 2022
Venture capital regulations
The SEC regulates most aspects of venture capital funds and fund managers. Learn more about private fund regulation requirements to remain compliant.
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Investors
August 2022
Regulation D
Regulation D outlines some of the rules private funds and companies can follow to raise money by selling securities without having to register.
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