Regulatory
Regulatory news for fund managers and LPs: SEC exam priorities, enforcement actions, Advisers Act rule changes, private fund adviser regulation, Investment Company Act exemptions, and cross-border compliance developments.
CoreCommodity Management files Form D/A for Founders Absolute Return Fund, LLC
CoreCommodity Management filed a Form D/A on Nov. 5, 2026 for Founders Absolute Return Fund, LLC, according to SEC EDGAR.
CoreCommodity Management files amended Form D for Founders I Fund, LLC
CoreCommodity Management filed an amended Form D for Founders I Fund, LLC on Nov. 5, 2026, according to SEC EDGAR.
Premier Affordable Housing Fund, LLC files amended Form D on SEC EDGAR
Premier Affordable Housing Fund, LLC filed an amended Form D on Nov. 4, 2026, according to SEC EDGAR.
Bain Capital Senior Loan Fund (SRI), L.P. files SEC Form D/A under 3(c)(1) and 3(c)(7)
Bain Capital Senior Loan Fund (SRI), L.P. filed a Form D/A on Nov. 3, 2026, with SEC EDGAR citing Investment Company Act exemptions under Sections 3(c)(1) and 3(c)(7).
H.I.G. Europe Middle Market LBO Fund II, SCSp files amended Form D on SEC EDGAR
H.I.G. Europe Middle Market LBO Fund II, SCSp filed a Form D/A on Oct. 30, 2026, according to SEC EDGAR.
Optimize Portugal 80 compartment files on SEC EDGAR under 3(c)(7) exemption
Compartimento Optimize Portugal 80 filed on SEC EDGAR on 2026-10-30, listing Investment Company Act Section 3(c)(7) in Item 3C.7.
Bain Capital Global Direct Lending Fund (U) II RN, LP files amended Form D/A
Bain Capital Global Direct Lending Fund (U) II RN, LP filed a Form D/A on Oct. 28, 2026 under Securities Act Rule 506 with 3(c)(7) status indicated.
India weighs reforms to $180bn National Pension System for private markets access
India is considering changes to its ~$180bn National Pension System that could allow higher allocations to private markets, alternative assets and lower-rated corporate debt.
Asia Alternatives Capital Partners VII, LP files amended Form D/A on SEC EDGAR
Asia Alternatives Capital Partners VII, LP is listed in an amended Form D filing dated 2026-10-28 on SEC EDGAR under Accession No. 0000904454-26-000558.
Asia Alternatives Capital Partners VII (Luxembourg) SCSp files amended Form D on EDGAR
An amended Form D for Asia Alternatives Capital Partners VII (Luxembourg) SCSp was filed on SEC EDGAR on Oct. 28, 2026 under the Securities Act of 1933.
Franklin Templeton files D/A for Infrastructure Debt Fund I (EUR) sub-fund on SEC EDGAR
Franklin Templeton filed a D/A on Oct. 26, 2026 for Franklin Templeton Infrastructure Debt Fund I (EUR), citing Investment Company Act 3(c)(7).
Neuberger Berman Japan Equity Fund L.P. files Form D/A with SEC
Neuberger Berman Japan Equity Fund L.P. filed an amended Form D (D/A) on Oct. 23, 2026, according to SEC EDGAR.
Kepler Nova Capital SPC files Form D for Kepler Nova Innovation SP
Kepler Nova Capital SPC filed a Form D for Kepler Nova Innovation SP on Oct. 22, 2026, according to SEC EDGAR.
Tap Root Capital SMF I-A LP files Form D with SEC under 3(c)(7) exemption
Tap Root Capital SMF I-A LP filed a Form D on Oct. 16, 2026 under the Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Redpoint Ventures IX-M, L.P. appears in SEC EDGAR with Form D filing dated Oct. 15, 2026
SEC EDGAR shows a Form D index entry for Redpoint Ventures IX-M, L.P. with a filed date of Oct. 15, 2026 and Investment Company Act 3(c)(7) indicated.
Siguler Guff Small Business Credit Evergreen Fund, LP files Form D on SEC EDGAR
Siguler Guff Small Business Credit Evergreen Fund, LP filed a Form D on Oct. 15, 2026, according to SEC EDGAR.
StepStone Secondary Opportunities Fund VI Europe, SCSp files amended D/A on SEC EDGAR
StepStone Secondary Opportunities Fund VI Europe, SCSp filed an amended D/A on Oct. 9, 2026, indicating reliance on Investment Company Act Sections 3(c)(1) and 3(c)(7).
Franklin Templeton Digital Asset Frontier Fund files D/A under 3(c)(7) exemption
Franklin Templeton Digital Asset Frontier Fund, Ltd. filed a D/A on Oct. 7, 2026 under Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Harraden Circle Strategic Investments, LP files D/A on SEC EDGAR citing 3(c)(1)
Harraden Circle Strategic Investments, LP filed a D/A on Sept. 22, 2026, with Item 3C indicating reliance on Investment Company Act Section 3(c)(1).
Silver Lake sues Icahn and hedge funds in Delaware over Endeavor appraisal claims
Silver Lake filed a Delaware Chancery Court suit seeking to block appraisal proceedings tied to its planned take-private of Endeavor, according to Private Equity Wire.
Golden City Plaza Capital LP files Form D on SEC EDGAR
Golden City Plaza Capital LP filed a Form D with the SEC on Sept. 22, 2026, according to an SEC EDGAR index entry.
NBA revises private equity investment rules as $12.5bn Lakers deal is proposed
The NBA is changing its private equity investment rules in franchises ahead of a proposed $12.5bn Los Angeles Lakers acquisition involving Joshua Kushner and Bob Iger.
MCE Social Capital files D/A on SEC EDGAR dated Sept. 17, 2026
MCE Social Capital filed a D/A amendment on Sept. 17, 2026, according to an SEC EDGAR index listing.
Bessemer Venture Partners files SEC Form D for Century Fund III Parallel L.P.
A Form D filing for Bessemer Venture Partners Century Fund III Parallel L.P. was posted on SEC EDGAR with a 2026-09-14 filing date.
Bessemer Venture Partners Century Fund III Institutional A L.P. files on SEC EDGAR
Bessemer Venture Partners Century Fund III Institutional A L.P. is listed as a filer in a 2026-09-14 SEC EDGAR submission under Investment Company Act Section 3(c)(7).
Hamilton Lane Impact Fund III-A LP files amended Form D/A on SEC EDGAR
Hamilton Lane Impact Fund III-A LP filed an amended Form D/A on Sept. 11, 2026, according to SEC EDGAR.
ARMRA Capital Partners Growth-A, LP files Form D under 3(c)(1) exemption
ARMRA Capital Partners Growth-A, LP filed a Form D on Sept. 11, 2026, indicating reliance on the Investment Company Act Section 3(c)(1) exemption.
American Ventures LLC files D/A for Series XXXVI SIM Sponsor I on SEC EDGAR
American Ventures LLC filed a D/A on Sept. 11, 2026 for Series XXXVI SIM Sponsor I, indicating an Investment Company Act Section 3(c)(1) reference.
Redemption MRE Income Fund LLC files D/A on SEC EDGAR
Redemption MRE Income Fund LLC filed a D/A on September 11, 2026, according to an SEC EDGAR filing.
Rock Harbor Insurance Fund Series files D/A on SEC EDGAR under 3(c)(7) exemption
Rock Harbor Insurance Fund Series of the SALI Multi-Series Fund, L.P. filed a D/A on 2026-09-11 under the Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Junto Offshore Fund Ltd files D/A on SEC EDGAR under 3(c)(7) exemption
Junto Offshore Fund Ltd filed a D/A on Sept. 11, 2026, showing Investment Company Act Section 3(c)(7) in the SEC index.
System Exec Capital LP files Form D on SEC EDGAR under 3(c)(1) exemption
System Exec Capital LP filed a Form D on Sept. 11, 2026, indicating reliance on Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Dren Capital Fund I LP files amended Form D on SEC EDGAR
Dren Capital Fund I LP filed an amended Form D on Sept. 11, 2026, according to SEC EDGAR.
Twin Lake Total Return Partners QP L.P. files D/A on SEC EDGAR
Twin Lake Total Return Partners QP L.P. (CIK 0001263633) filed a D/A on 2026-09-11 under AccNo 0001263633-26-000002, per SEC EDGAR.
Interhorizon Capital Fund One, LP files Form D/A on SEC EDGAR
Interhorizon Capital Fund One, LP filed a Form D/A on 2026-09-11 under Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Beck Mack Limited Partnership files amended Form D indicating 3(c)(7) status
Beck Mack Limited Partnership filed an amended Form D on Sept. 11, 2026, with SEC EDGAR and marked an Investment Company Act Section 3(c)(7) exemption.
Hengistbury Fund LP files amended Schedule 13D/A on SEC EDGAR
Hengistbury Fund LP filed a Schedule 13D/A on Sept. 11, 2026, according to an SEC EDGAR index page for Accession No. 0000919574-26-006268.
Sagehen Asset Fund Series files Form D/A for SALI Multi-Series Fund on SEC EDGAR
A Form D/A was filed on 2026-09-11 for Sagehen Asset Fund Series of the SALI Multi-Series Fund, L.P., listing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Frontier Storage Capital, LP files Form D with the SEC
Frontier Storage Capital, LP filed a Form D on 2026-09-11, according to an SEC EDGAR index page for accession 0002142137-26-000001.
Forada Fund Ltd files D/A on SEC EDGAR citing Investment Company Act 3(c)(7)
Forada Fund Ltd filed a D/A on 2026-09-11 that references Investment Company Act Section 3(c) and Section 3(c)(7), according to SEC EDGAR.
Neuberger Berman Insurance Fund V files Form D/A for SALI Multi-Series Fund LP
A Form D/A for Neuberger Berman Insurance Fund V series interests of SALI Multi-Series Fund LP was filed on Sept. 10, 2026, according to SEC EDGAR.
Aspira Fund I files Form D with SEC as a 3(c)(7) fund
Aspira Fund I filed a Form D on Sept. 10, 2026 and indicated reliance on Investment Company Act Section 3(c)(7).
Neuberger Berman Insurance Fund VIII files Form D/A for SALI Multi-Series Fund LP
A Form D/A filing for Neuberger Berman Insurance Fund VIII series interests of SALI Multi-Series Fund, L.P. was posted on SEC EDGAR on Sept. 10, 2026.
Moderate Growth Insurance Fund files D/A on SEC EDGAR under 3(c)(7) exemption
A D/A filing for Moderate Growth Insurance Fund, a series interest of SALI Multi-Series Fund, L.P., was posted on SEC EDGAR on 2026-09-10.
PHB Capital Fund, LLC files Form D with the SEC
PHB Capital Fund, LLC filed a Form D notice on September 10, 2026, according to an SEC EDGAR index page.
VSS Structured Capital Cayman V, L.P. files exemptive notice under 3(c)(7)
VSS Structured Capital Cayman V, L.P. filed a Form D-related exemptive notice on Sept. 10, 2026 indicating reliance on Investment Company Act Section 3(c)(7).
Corriente-Phantom Space Fund, LP files Form D on SEC EDGAR
Corriente-Phantom Space Fund, LP filed a Form D on Sept. 10, 2026, listing Investment Company Act Section 3(c)(1) in the SEC EDGAR index.
Neuberger Berman Insurance Fund VII files amended Form D for SALI Multi-Series Fund
An amended Form D for Neuberger Berman Insurance Fund VII Series Interests of the SALI Multi-Series Fund, L.P. was filed on Sept. 10, 2026, per SEC EDGAR.
Neuberger Berman Insurance Fund X Series files D/A on SEC EDGAR under 3(c)(7)
A D/A filing for Neuberger Berman Insurance Fund X Series Interests of the SALI Multi-Series Fund, L.P. was posted on SEC EDGAR on 2026-09-10 referencing Section 3(c)(7).
Crewe Partners Three, LLC files Form D on SEC EDGAR
Crewe Partners Three, LLC filed a Form D on Sept. 10, 2026, listing an Investment Company Act 3(c)(1) exemption on SEC EDGAR.
