CATEGORY

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.

1690 stories Updated multiple times daily
Close-up of Bitcoin coins and an iPad displaying 'Financial Freedom,' symbolizing modern digital savings.
May 28, 2026 #sec-filing#hedge-fund#3c1

Mercer Hedge Fund Investors SPC Files D/A With SEC

Mercer Hedge Fund Investors SPC submitted a D/A filing on 2026-05-28 referencing Investment Company Act Section 3(c)(1).

Front view of the Supreme Court building in New York City with blue skies.
May 28, 2026 #sec-filing#energy-fund#regulatory

MPC FED 2026 Energy Fund Delta, LLC Files SEC Document

D - MPC FED 2026 Energy Fund Delta, LLC submitted a 7 KB filing to the SEC on May 28, 2026, with accession number 0000908834-26-000247.

Top view of scrabble tiles spelling 'DOCUMENTS' on various contracts and agreements.
May 28, 2026 #sec-filing#form-d#energy-fund

D - MPC FED 2026 Energy Fund Golf, LLC Files SEC Document

D - MPC FED 2026 Energy Fund Golf, LLC submitted a filing to the SEC on May 28, 2026.

A 'Do Not Enter' sign on a concrete wall outside a building with greenery.
May 28, 2026 #sec-filing#3c7#parkman-hp-onshore-fund

Parkman HP Onshore Fund LP Files D/A With SEC

Parkman HP Onshore Fund LP submitted a D/A filing on May 28, 2026, referencing Section 3(c)(7) of the Investment Company Act.

A professional setting with a focus on signing divorce documents in an office environment.
May 28, 2026 #sec-filing#3c1#elco-select-fund

ELCO Select Fund, L.P. Files D/A Amendment with SEC

ELCO Select Fund, L.P. submitted a D/A filing on May 28, 2026 referencing Section 3(c)(1) of the Investment Company Act.

Captivating facade of the New York State Capitol with iconic I ❤️ NY sculpture.
May 27, 2026 #regulatory#sec-filing#engine-ventures

Engine Ventures Scale Up Fund I, L.P. Files SEC Notice

Engine Ventures Scale Up Fund I, L.P. submitted an SEC filing on May 27, 2026 claiming Investment Company Act exemptions.

Close-up of contract papers with Scrabble tiles spelling 'CONTRACT'.
May 27, 2026 #regulatory#sec-filing#3c1-exemption

Revere Partners RF Fund II Files 3(c)(1) Exemption Notice

Revere Partners RF Fund II, LP filed a Section 3(c)(1) exemption notice with the SEC on May 27, 2026 for its D - RF Q2 2026 series.

A picturesque view of the US Capitol Building in Washington, DC, under a clear sky.
May 27, 2026 #sec-filing#3c1-exemption#investment-company-act

Telis Vail Village Partners LLC Files 3(c)(1) Notice

Telis Vail Village Partners LLC submitted a Section 3(c)(1) filing under the Investment Company Act on May 27, 2026.

Low angle view of a modern building facade in Brussels with bright sunlight and blue sky.
May 27, 2026 #regulatory#sec-filing#investment-company-act

Engine Ventures Scale Up Fund I Files SEC Exemption Notice

D - Engine Ventures Scale Up Fund I, L.P. submitted a Section 3(c) filing to the SEC on May 27, 2026.

Front view of the Supreme Court building in New York City with blue skies.
May 27, 2026 #sec-filing#revere-partners#section-3c1

Revere Partners RF Fund II Files D - RF Q2 2026 Series Notice

Revere Partners RF Fund II, LP submitted a Form D notice for series D - RF Q2 2026 under Section 3(c)(1) on May 27, 2026.

A stunning drone shot of a lighthouse in an urban coastal cityscape under a clear blue sky.
May 27, 2026 #regulatory#sec-filing#3c7

Lighthouse Asian Compass Segregated Portfolio Files D/A

Lighthouse Strategies Fund SPC submits D/A for Lighthouse Asian Compass Segregated Portfolio under Investment Company Act Section 3(c)(7).

Grand courthouse in Cedar Rapids with an American flag in a bright blue sky.
May 27, 2026 #regulatory#sec-filing#3c1

Telis Vail Village Partners LLC Files 3(c)(1) Notice With SEC

Telis Vail Village Partners LLC filed a notice with the SEC on May 27 2026 claiming exemption under Section 3(c)(1) of the Investment Company Act.

Illuminated government building in Sofia, showing classic architectural design under a twilight sky.
May 27, 2026 #sec-filing#section-3c7#private-fund

D - Clean Cars Equity Fund II QP, LLC Files SEC Notice

D - Clean Cars Equity Fund II QP, LLC submitted a filing to the SEC on May 27, 2026, referencing Section 3(c)(7).

A serene city skyline at night featuring skyscrapers and a crescent moon in the clear sky.
May 27, 2026 #sec-filing#3c7#investment-company-act

Hunters Moon Crescent Fund LP Files D/A With SEC

Hunters Moon Crescent Fund LP submitted a D/A filing to the SEC on May 27 2026 claiming Section 3(c)(7) exemption.

Futuristic glass and steel skyscraper with reflections against a bright blue sky.
May 27, 2026 #sec-filing#hummingbird-development-fund#edgar-submission

Hummingbird Development Fund A LLC Files SEC Document

Hummingbird Development Fund A LLC submitted a filing to the SEC on May 27, 2026, according to EDGAR records.

Top view of scrabble tiles spelling 'DOCUMENTS' on various contracts and agreements.
May 27, 2026 #sec-filing#regulatory#3c7

Hunters Moon Crescent Fund Ltd Files 3(c)(7) Notice With SEC

Hunters Moon Crescent Fund Ltd submitted a D/A filing on May 27, 2026, referencing Section 3(c)(7) of the Investment Company Act.

Stunning photograph of a hummingbird hovering, showcasing its delicate wings and unique features.
May 27, 2026 #sec-filing#form-d#emerging-manager

Hummingbird Development Fund A LLC Files with SEC EDGAR

Hummingbird Development Fund A LLC submitted a filing to the SEC on May 27, 2026 under CIK 0002136850.

Concrete Brutalist building facade in Boston, showcasing striking geometric design.
May 27, 2026 #sec-filing#3c7-exemption#lighthouse-strategies

Lighthouse Strategies Fund LLC Files D/A for Healthcare Series

Lighthouse Strategies Fund LLC submitted a D/A filing for its Lighthouse Healthcare Series on May 27, 2026, referencing Section 3(c)(7).

Front view of the Royal Palace of Brussels with Belgian flag under a cloudy sky.
May 27, 2026 #sec-filing#3c7#private-fund

Acadian Global Equity Dynamic Extension Tax-Aware Fund Files SEC Notice

Acadian Global Equity Dynamic Extension Tax-Aware Fund, LP filed a Form 3C notice with the SEC on May 27, 2026 claiming Section 3(c)(7) exemption.

Focused close-up of an NDA document on a wooden desk, highlighting contract details.
May 27, 2026 #regulatory#sec-filing#3c7

Locust Wood Long Only Offshore Fund Files 3(c)(7) Notice

D - Locust Wood Long Only Offshore Fund Ltd filed a Section 3(c)(7) notice with the SEC on May 27, 2026.

Grand courthouse in Cedar Rapids with an American flag in a bright blue sky.
May 27, 2026 #sec-filing#spv#regulatory

Delta4 Capital Master SPV LLC Files SEC Document

Delta4 Capital Master SPV LLC submitted a filing to the SEC on May 27, 2026, per EDGAR records.

A top view on charts and smartphone in an office, showcasing data analytics.
May 27, 2026 #regulatory#sec-filing#3c1

EquityZen Growth Technology Fund LLC Files 3(c)(1) Notice

EquityZen Growth Technology Fund LLC - Series 2320 submitted a Section 3(c)(1) notice under the Investment Company Act on May 27, 2026.

Front view of a neoclassical courthouse building in Colorado with lush greenery.
May 27, 2026 #sec-filing#highvista#investment-company-act

HighVista I Limited Partnership Files D/A on 2026-05-27

HighVista I Limited Partnership submitted a D/A filing referencing Section 3(c)(7) of the Investment Company Act.

Close-up of business professionals signing a document with a pen indoors.
May 27, 2026 #regulatory#sec-filing#form-d

Danu Ventures Fund I, LP Files SEC Form D/A

Danu Ventures Fund I, LP submitted a D/A filing on May 27, 2026, referencing Section 3(c)(1) of the Investment Company Act.

Close-up of a hand signing documents with a pen, symbolizing an important business contract.
May 26, 2026 #sec-filing#3c1#tmv-logistics-fund

TMV Logistics Fund, LP Files D/A on 2026-05-26

TMV Logistics Fund, LP submitted a D/A filing to the SEC under Investment Company Act Section 3(c)(1).

Grand courthouse in Cedar Rapids with an American flag in a bright blue sky.
May 26, 2026 #sec-filing#3c1-exemption#banyan-ventures

Banyan Ventures Fund II Files SEC Notice Under 3(c)(1)

Banyan Ventures Fund II, L.P. submitted an SEC filing on May 26, 2026, claiming the Section 3(c)(1) exemption under the Investment Company Act.

Colorful cargo containers stacked at a busy industrial port, showcasing global trade.
May 26, 2026 #regulatory#sec-filing#3c1

TMV Logistics Fund LP Files D/A Amendment With SEC

TMV Logistics Fund, LP submitted a D/A filing on May 26, 2026, under Investment Company Act Section 3(c)(1).

A 'Do Not Enter' sign on a concrete wall outside a building with greenery.
May 26, 2026 #sec-filing#3c1-exemption#geek-ventures

Geek Ventures Fund I, LP Files SEC Notice Under 3(c)(1)

Geek Ventures Fund I, LP submitted a D/A filing to the SEC on May 26, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.

Explore the sunlit ancient ruins entwined with massive tree roots in a historic setting.
May 26, 2026 #sec-filing#3c1#fund-formation

Banyan Ventures Fund II, L.P. Files SEC Notice Under 3(c)(1)

Banyan Ventures Fund II, L.P. submitted a filing to the SEC on May 26, 2026, referencing Section 3(c)(1) of the Investment Company Act.

Historic Indiana State Capitol Building in Indianapolis during springtime with blooming trees.
May 26, 2026 #sec-filing#3c1#private-fund

Lake Street HighPoint Co-Invest Fund Files 3(c)(1) Notice

Lake Street HighPoint Co-Invest Fund, LP submitted a Section 3(c)(1) filing to the SEC on May 26, 2026.

A prominent historic building in Brigham City, Utah, covered in snow during winter.
May 26, 2026 #sec-filing#regulatory#cypress-point-funding

Cypress Point Funding LLC/DE Files SEC Document

Cypress Point Funding LLC/DE (CIK 0002133984) submitted a filing to the SEC on May 26, 2026.

Close-up of a legal document with a wooden stamp placed on top, highlighting verification.
May 26, 2026 #sec-filing#regulatory#3c7

CAZ Co-Investment Opportunities Fund Files SEC Notice

D - CAZ Co-Investment Opportunities Fund, L.P. - ARMADA II Portfolio submitted an SEC filing under Section 3(c)(7) on May 26, 2026.

Top view of scrabble tiles spelling 'DOCUMENTS' on various contracts and agreements.
May 26, 2026 #sec-filing#silver-horizon-funding#regulatory

Silver Horizon Funding LLC Files with SEC

Silver Horizon Funding LLC submitted a filing to the SEC on May 26, 2026 under CIK 0002133144.

SkyTrain glides through Vancouver at sunset, surrounded by fall foliage.
May 26, 2026 #regulatory#sec-filing#3c7

Translink Capital Partners VI Files 3(c)(7) Notice

Translink Capital Partners VI, LP submitted a Section 3(c)(7) exemption filing to the SEC on May 26, 2026.

An antique typewriter with cryptoeconomics text on paper against a grassy background.
May 26, 2026 #sec-filing#form-d#edgar-submission

Cypress Point Funding LLC/DE Files SEC Document May 26 2026

Cypress Point Funding LLC/DE submitted a filing to the SEC on May 26 2026 under accession number 0001493152-26-025289.

Front view of the historic Idaho State Capitol Building under blue skies in Boise.
May 26, 2026 #regulatory#sec-filing#3c1

Geek Ventures Fund I, LP Files D/A With SEC

Geek Ventures Fund I, LP submitted a D/A filing to the SEC on May 26, 2026, under Section 3(c)(1) of the Investment Company Act.

Top view of scrabble tiles spelling 'DOCUMENTS' on various contracts and agreements.
May 26, 2026 #sec-filing#form-d#private-fund

Byrd In Hand Holdings LLC Files SEC Document

Byrd In Hand Holdings LLC (CIK 0002136832) submitted a filing to the SEC on May 26, 2026.

Close-up of a person signing a divorce decree on a desk.
May 26, 2026 #regulatory#sec-filing#3c1

Temple Capital Master Fund Files D/A on May 26 2026

Temple Capital Master Fund, L.P. submitted a D/A filing referencing Section 3(c)(1) of the Investment Company Act.

The US Capitol Building in Washington DC, an iconic symbol of the American government.
May 26, 2026 #sec-filing#3c7#feeder-fund

Sands Capital Emerging Markets Growth Feeder Fund Files D/A

Sands Capital Emerging Markets Growth Feeder Fund (DE), L.P. submitted a D/A filing to the SEC on May 26, 2026 under Section 3(c)(7).

Low angle view of a modern building facade in Brussels with bright sunlight and blue sky.
May 26, 2026 #sec-filing#3c7#market-neutral-fund

Amazon Market Neutral Fund Files 3(c)(7) Notice

D - Amazon Market Neutral Fund submits SEC filing claiming Investment Company Act Section 3(c)(7) exemption on May 26, 2026.

A lawyer discusses legal documents with clients in an office setting.
May 26, 2026 #regulatory#sec-filing#3c7

Sands Capital Emerging Markets Growth Feeder Fund Files D/A Notice

Sands Capital Emerging Markets Growth Feeder Fund (Cayman), Ltd filed a D/A notice with the SEC on May 26, 2026 under Section 3(c)(7).

Close-up of contract papers with Scrabble tiles spelling 'CONTRACT'.
May 26, 2026 #sec-filing#regulatory#form-d

Veyrion Laxentum Capital Ltd Files SEC Document

Veyrion Laxentum Capital Ltd (CIK 0002105238) submitted a filing to the SEC on May 26, 2026.

An elegant view of classic architectural columns with an antique street lamp, ideal for urban landscapes.
May 26, 2026 #sec-filing#regulatory#3c7

Regal Resources Long Short Offshore Fund Files SEC Notice

Regal Resources Long Short (Offshore) Fund submitted a Section 3(c)(7) notice to the SEC on May 26, 2026.

Two businessmen discussing projects over coffee and data charts.
May 25, 2026 #sec-filing#western-standard-partners#3c1

Western Standard Partners LP Files D/A on 2026-05-22

Western Standard Partners LP submitted a D/A filing to the SEC on 2026-05-22 referencing Investment Company Act Section 3(c)(1).

A prominent historic building in Brigham City, Utah, covered in snow during winter.
May 25, 2026 #sec-filing#western-standard-partners#section-3c1

Western Standard Partners LP Files D/A with SEC on May 22 2026

Western Standard Partners LP submitted a D/A filing under Investment Company Act Section 3(c)(1) via SEC EDGAR on May 22 2026.

A lawyer discusses legal documents with clients in an office setting.
May 25, 2026 #sec-filing#form-d#3c1-exemption

Clutch Capital Files Form D for Moxi by Play Money Series

Moxi by Play Money a Series of Clutch Capital LLC submitted a Form D notice under Section 3(c)(1) on May 22, 2026.

Close-up of columns and exterior architectural details of a historic landmark building.
May 25, 2026 #regulatory#sec-filing#3c7

Western Standard Partners QP, L.P. Files D/A on 2026-05-22

Western Standard Partners QP, L.P. submitted a D/A filing to the SEC on May 22, 2026, referencing Investment Company Act Section 3(c)(7).

Detailed view of a US 100 dollar bill highlighting security features and design elements.
May 25, 2026 #sec-filing#3c1-exemption#clutch-capital

D-HITT Power Series Files SEC Notice Claiming 3(c)(1) Exemption

D - HITT Power by SAC 28 a Series of Clutch Capital LLC filed a 6 KB SEC notice on May 22, 2026 claiming the Section 3(c)(1) exemption.

A professional setting with a focus on signing divorce documents in an office environment.
May 25, 2026 #sec-filing#form-d#western-standard

Western Standard Partners QP Files D/A Amendment on May 22

Western Standard Partners QP, L.P. submitted a D/A filing referencing Section 3(c)(7) of the Investment Company Act.

Close-up of a hand signing documents with a pen, symbolizing an important business contract.
May 25, 2026 #sec-filing#form-d#investment-company-act

MAVRK Celestia Fund, LP Files SEC Notice for 3(c)(1) and 3(c)(7)

MAVRK Celestia Fund, LP submitted a Form D notice to the SEC claiming exemptions under Investment Company Act Sections 3(c)(1) and 3(c)(7).