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.

3239 stories Updated multiple times daily
Close-up of Bitcoin coins and an iPad displaying 'Financial Freedom,' symbolizing modern digital savings.
Jul 27, 2026 #sec-filing#form-d-amendment#build-capital-llc

Build Capital LLC Files D/A Amendment with SEC

Build Capital LLC submitted a D/A filing to the SEC on July 27, 2026, per EDGAR records.

Neoclassical architecture of Tweed Courthouse in Manhattan at dusk capturing urban elegance.
Jul 27, 2026 #sec-filing#3c1#private-fund

D - Edge Partners LLC Files 3(c)(1) Notice for Series S Ramp

D - Edge Partners LLC, Series S Ramp submitted a Section 3(c)(1) filing to the SEC on July 27, 2026.

Front view of a neoclassical courthouse building in Colorado with lush greenery.
Jul 27, 2026 #sec-filing#form-d#hines

Hines U.S. Property Partners Lux SCSp Files D/A on 2026-07-27

Hines U.S. Property Partners Lux SCSp submitted a D/A filing on 2026-07-27 referencing Sections 3(c)(5) and 3(c)(7) of the Investment Company Act.

Majestic view of the Idaho State Capitol with its iconic dome under a cloudy sky.
Jul 27, 2026 #sec-filing#form-d-amendment#3c7-exemption

AG Japan Value Fund 1-B Files SEC Amendment

AG Japan Value Fund 1-B, L.P. submitted a D/A filing to the SEC on July 27, 2026, referencing Section 3(c)(7) of the Investment Company Act.

Stunning aerial view of the iconic California State Capitol in Sacramento surrounded by cityscape.
Jul 27, 2026 #sec-filing#3c1-exemption#investment-company-act

Phroureo Fund LP Files SEC Notice for 3(c)(1) Exemption

Phroureo Fund LP submitted a filing to the SEC on July 27, 2026 claiming exemption under Section 3(c)(1) of the Investment Company Act.

Hands signing a contract with a blue pen, close-up view.
Jul 27, 2026 #regulatory#sec-filing#3c7

AG Japan Value Fund 1-A Files D/A Amendment with SEC

AG Japan Value Fund 1-A, LPS submitted a D/A filing on July 27, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.

Low angle view of a modern building facade in Brussels with bright sunlight and blue sky.
Jul 27, 2026 #sec-filing#3c7#hedge-fund

Hedge Fund Select Files 3(c)(7) Amendment for The Children's Investment Fund

Hedge Fund Select: The Children's Investment Fund LLC submitted a D/A filing on 2026-07-27 citing Investment Company Act Section 3(c)(7).

Low angle view of the historic Box Elder County Courthouse with columns and blue sky, Brigham City, Utah.
Jul 27, 2026 #sec-filing#3c7-exemption#hedge-fund

Symmetry Master Ltd Files 3(c)(7) Amendment

Hedge Fund Select: Symmetry Master Ltd submits D/A filing claiming Section 3(c)(7) exemption under the Investment Company Act.

Crowd holding signs advocating for reproductive rights and regulation.
Jul 26, 2026 #sec-filing#investment-company-act#3c7

Aptitude Alternative Equity LP Files D/A on 2026-07-24

Aptitude Alternative Equity LP submitted a D/A filing to the SEC referencing Section 3(c)(7) of the Investment Company Act.

An elegant view of classic architectural columns with an antique street lamp, ideal for urban landscapes.
Jul 26, 2026 #sec-filing#form-d#3c1-exemption

LifeSci Venture SPV 18 Files D/A on July 24, 2026

LifeSci Venture SPV 18, LLC submitted a D/A filing claiming Section 3(c)(1) exemption under the Investment Company Act.

Fire door with warning sign in urban setting, emphasizing safety and compliance.
Jul 26, 2026 #sec-filing#3c1-exemption#co-invest-fund

Align Ventures Co-Invest Fund Files SEC Notice Under 3(c)(1)

Align Ventures Co-Invest Fund, LP submitted a Form 3C filing with the SEC on July 24, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.

Two professionals examining a divorce decree with a Lady Justice statue nearby.
Jul 26, 2026 #sec-filing#regulatory#investment-company-act

LifeSci Venture SPV 18, LLC Files SEC Document

LifeSci Venture SPV 18, LLC submitted a filing to the SEC on July 24, 2026, referencing Section 3(c)(1) of the Investment Company Act.

Close-up of a live cryptocurrency trading chart screen displaying dynamic market trends and analysis.
Jul 26, 2026 #regulatory#fundraising#sec-filing

Blackstone Private Equity Strategies Fund Files D/A on SEC EDGAR

Blackstone Private Equity Strategies Fund (TE) L.P. submitted a D/A filing on July 24, 2026, under Section 3(c)(7) of the Investment Company Act.

Ornate façade of the New York Stock Exchange featuring intricate stone sculptures during daylight.
Jul 26, 2026 #aptitude-alternative-equity#sec-filing#3c7-exemption

Aptitude Alternative Equity LP Files D/A Amendment With SEC

Aptitude Alternative Equity LP submitted a D/A filing on July 24, 2026, claiming Section 3(c)(7) exemption under the Investment Company Act.

Historic courthouse facade with statue and American flag in daylight.
Jul 26, 2026 #sec-filing#3c1-exemption#private-fund

Align Ventures Co-Invest Fund Files 3(c)(1) Notice

Align Ventures Co-Invest Fund, LP submitted an SEC filing on July 24, 2026, under Investment Company Act Section 3(c)(1).

Close-up of the Department of Agriculture building facade under a clear blue sky.
Jul 26, 2026 #blackstone#sec-filing#private-equity

Blackstone Private Equity Strategies Fund Files D/A Amendment

Blackstone Private Equity Strategies Fund L.P. submitted a D/A filing on July 24, 2026 claiming Section 3(c)(7) exemption under the Investment Company Act.

A statue of Lady Justice in an urban area during snowfall.
Jul 26, 2026 #sec-filing#aptitude-alternative-equity#section-3c7

Aptitude Alternative Equity Ltd Files D/A with SEC on July 24 2026

Aptitude Alternative Equity Ltd submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 24 2026 according to SEC EDGAR.

Close-up of a legal document with a wooden stamp placed on top, highlighting verification.
Jul 26, 2026 #sec-filing#3c1-exemption#spv

Levee Ventures Intramotev I Files 3(c)(1) Exemption Notice

Levee Ventures Intramotev I, a series of Decile SPV, LLC, submitted a Section 3(c)(1) notice to the SEC on 2026-07-24.

Top view of various Indian rupee banknotes and coins, highlighting financial themes.
Jul 26, 2026 #regulatory#form-d#investment-company-act

LifeSci Venture SPV 18 Files D/A Amendment on July 24 2026

LifeSci Venture SPV 18 LLC submitted a D/A filing claiming exemption under Section 3(c)(1) of the Investment Company Act.

Close-up of stock market trading screen displaying financial growth and charts.
Jul 26, 2026 #sec-filing#3c1-exemption#spv

Levee Ventures Intramotev I Files 3(c)(1) Notice with SEC

Levee Ventures Intramotev I, a series of Decile SPV, LLC, filed an exemption notice under Section 3(c)(1) of the Investment Company Act on July 24, 2026.

Tablet displaying 'Financial Freedom' surrounded by bitcoins and 2021 planner, symbolizing cryptocurrency potential.
Jul 26, 2026 #sec-filing#aptitude-alternative-equity#3c7

Aptitude Alternative Equity LP Files D/A on July 24 2026

Aptitude Alternative Equity LP submitted a D/A filing referencing Section 3(c)(7) of the Investment Company Act.

Classic architecture of the New York Stock Exchange facade in NYC.
Jul 26, 2026 #blackstone#sec-filing#3c7

Blackstone Private Equity Strategies Fund Files SEC Amendment

Blackstone Private Equity Strategies Fund L.P. submitted a D/A filing to the SEC on July 24 2026 referencing Section 3(c)(7) of the Investment Company Act.

Stunning aerial view of the iconic California State Capitol in Sacramento surrounded by cityscape.
Jul 26, 2026 #form-d#blackstone#sec-filing

Blackstone Files D/A for Private Equity Strategies Fund (TE) L.P.

Blackstone Private Equity Strategies Fund (TE) L.P. submitted an amended Form D filing on July 24, 2026, under Section 3(c)(7) of the Investment Company Act.

A detailed close-up of a livestock animal's ear with a visible identification tag for farm management.
Jul 26, 2026 #sec-filing#3c1-exemption#spv

LifeSci Venture SPV 18, LLC Files SEC Notice Under 3(c)(1)

LifeSci Venture SPV 18, LLC submitted a D/A filing with the SEC on July 24, 2026, citing Section 3(c)(1) of the Investment Company Act.

Snow-covered historic building with cars, showcasing winter ambiance.
Jul 26, 2026 #regulatory#sec-filing#3c1

Levee Ventures Intramotev I Files SEC Notice Under 3(c)(1)

Levee Ventures Intramotev I, a series of Decile SPV, LLC, submitted a Section 3(c)(1) filing to the SEC on July 24, 2026.

Wooden letter tiles spelling 'Regulation' on a textured wood background, conveying themes of compliance and structure.
Jul 26, 2026 #aptitude-alternative-equity#sec-filing#3c7

Aptitude Alternative Equity Ltd Files D/A with SEC

Aptitude Alternative Equity Ltd submitted a D/A filing on 2026-07-24 referencing Investment Company Act Section 3(c)(7).

An elegant view of classic architectural columns with an antique street lamp, ideal for urban landscapes.
Jul 26, 2026 #aptitude-alternative-equity#sec-filing#3c7-exemption

Aptitude Alternative Equity LP Files D/A With SEC

Aptitude Alternative Equity LP submitted a D/A filing on July 24, 2026, claiming Section 3(c)(7) exemption under the Investment Company Act.

Detailed view of a financial report with a focus on graphs and data analysis.
Jul 26, 2026 #sec-filing#blackstone#3c7

Blackstone Private Equity Strategies Fund Files D/A With SEC

Blackstone Private Equity Strategies Fund L.P. submitted a D/A filing on 2026-07-24 under Section 3(c)(7) of the Investment Company Act.

Aerial shot of the Supreme Court Building's architectural details in Melbourne, Australia.
Jul 26, 2026 #regulatory#sec-filing#private-fund

Levee Ventures Intramotev I Files 3(c)(1) SEC Notice

Levee Ventures Intramotev I, a series of Decile SPV, LLC, filed a Section 3(c)(1) exemption notice with the SEC on July 24, 2026.

Illuminated government building in Sofia, showing classic architectural design under a twilight sky.
Jul 26, 2026 #regulatory#sec-filing#3c1-exemption

LifeSci Venture SPV 18, LLC Files D/A With SEC

LifeSci Venture SPV 18, LLC submitted a D/A filing on 2026-07-24 claiming Section 3(c)(1) exemption under the Investment Company Act.

Monochrome photo of the New York State Capitol building with its reflection in water, emphasizing architectural symmetry.
Jul 26, 2026 #aptitude-alternative-equity#sec-filing#form-d-amendment

Aptitude Alternative Equity Ltd Files D/A Amendment

Aptitude Alternative Equity Ltd submitted a D/A filing on 2026-07-24 citing Section 3(c)(7) of the Investment Company Act according to SEC EDGAR.

Reflection of Idaho State Capitol in a mirrored building facade in Boise, ID.
Jul 25, 2026 #blackstone#form-d#sec-filing

Blackstone Private Equity Strategies Fund Files D/A Amendment

Blackstone Private Equity Strategies Fund L.P. submitted a D/A filing on 2026-07-24 referencing Section 3(c)(7) of the Investment Company Act.

Close-up of the Department of Agriculture building facade under a clear blue sky.
Jul 25, 2026 #sec-filing#3c1-exemption#regulatory

D - Align Ventures Co-Invest Fund Files 3(c)(1) SEC Notice

D - Align Ventures Co-Invest Fund, LP filed a Section 3(c)(1) exemption notice with the SEC on July 24, 2026.

Classic architecture of the New York Stock Exchange facade in NYC.
Jul 25, 2026 #aptitude-alternative-equity#sec-filing#3c7

Aptitude Alternative Equity Ltd Files D/A on 2026-07-24

Aptitude Alternative Equity Ltd submitted a D/A filing to the SEC on 2026-07-24 referencing Section 3(c)(7).

City environment with notices and fire hose on a vibrant red wall.
Jul 25, 2026 #regulatory#fundraising#sec-filing

Levee Ventures Intramotev I Files SEC Notice Under 3(c)(1)

Levee Ventures Intramotev I, a series of Decile SPV, LLC, submitted a filing to the SEC citing Investment Company Act Section 3(c)(1).

Close-up of a hand signing documents with a pen, symbolizing an important business contract.
Jul 25, 2026 #sec-filing#3c1-exemption#spv

LifeSci Venture SPV 18 Files 3(c)(1) Notice With SEC

LifeSci Venture SPV 18, LLC submitted a D/A filing on 2026-07-24 claiming exemption under Section 3(c)(1) of the Investment Company Act.

A laptop showing stock market graphs with a smartphone calculator, euro bills, coins, and trading strategies paper.
Jul 25, 2026 #blackstone#sec-filing#section-3c7

Blackstone Private Equity Strategies Fund L.P. Files D/A with SEC

Blackstone Private Equity Strategies Fund L.P. submitted a D/A filing on 2026-07-24 under Section 3(c)(7) of the Investment Company Act.

Wooden letter tiles arranged to spell 'Trading Rules' on a wooden surface.
Jul 25, 2026 #sec-filing#3c7#aptitude-alternative-equity

Aptitude Alternative Equity LP Submits D/A Filing to SEC

Aptitude Alternative Equity LP filed a D/A notice with the SEC on July 24, 2026, under Section 3(c)(7) of the Investment Company Act.

Top view of various Indian rupee banknotes and coins, highlighting financial themes.
Jul 25, 2026 #sec-filing#form-d#spv

LifeSci Venture SPV 18 Files D/A Amendment on July 24 2026

LifeSci Venture SPV 18 LLC submitted a Form D/A filing under Section 3(c)(1) of the Investment Company Act.

Hand writing cryptocurrency concepts on whiteboard in business meeting.
Jul 25, 2026 #sec-filing#3c1-exemption#private-fund

Align Ventures Co-Invest Fund Files 3(c)(1) Exemption Notice

D - Align Ventures Co-Invest Fund, LP filed a Section 3(c)(1) notice with the SEC on July 24, 2026.

Detailed view of a stock market screen showing numbers and data, symbolizing financial trading.
Jul 25, 2026 #sec-filing#form-d#blackstone

Blackstone Files D/A for Private Equity Strategies Fund (TE) L.P.

Blackstone Private Equity Strategies Fund (TE) L.P. submitted a D/A filing on 2026-07-24 under Investment Company Act Section 3(c)(7).

Historic courthouse facade with statue and American flag in daylight.
Jul 25, 2026 #sec-filing#3c1-exemption#spv

LifeSci Venture SPV 18 Files D/A With SEC

LifeSci Venture SPV 18, LLC submitted a D/A filing on 2026-07-24 referencing Section 3(c)(1) of the Investment Company Act.

Close-up of hands signing a contract on a desk with office supplies, symbolizing legal agreements.
Jul 25, 2026 #sec-filing#3c1-exemption#private-fund

D - Align Ventures Co-Invest Fund Files SEC Notice Under 3(c)(1)

D - Align Ventures Co-Invest Fund, LP submitted a filing to the SEC on July 24, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.

Front view of the historic Hampton Courthouse in Virginia, showcasing Neoclassical architecture.
Jul 25, 2026 #sec-filing#3c1-exemption#spv

Levee Ventures Intramotev I Files SEC Form Claiming 3(c)(1) Exemption

Levee Ventures Intramotev I, a series of Decile SPV, LLC, submitted a 9 KB filing to the SEC on July 24, 2026, under Section 3(c)(1) of the Investment Company Act.

Close-up of a hand holding a paper plane with 'Startup' written, symbolizing a business launch.
Jul 25, 2026 #sec-filing#3c1-exemption#spv

LifeSci Venture SPV 18 Files SEC Amendment for 3(c)(1) Exemption

LifeSci Venture SPV 18, LLC submitted a D/A filing on July 24, 2026, referencing Section 3(c)(1) of the Investment Company Act.

Front view of the Royal Palace of Brussels with Belgian flag under a cloudy sky.
Jul 25, 2026 #sec-filing#3c1-exemption#spv

Levee Ventures Intramotev I Files SEC Notice for 3(c)(1) Exemption

Levee Ventures Intramotev I, a series of Decile SPV, LLC, filed a Form 3C notice with the SEC on July 24, 2026, claiming Section 3(c)(1) exemption.

Top view of scrabble tiles spelling 'DOCUMENTS' on various contracts and agreements.
Jul 25, 2026 #sec-filing#spv#3c1-exemption

Levee Ventures Intramotev I Files SEC Notice Under Section 3(c)(1)

Levee Ventures Intramotev I, a series of Decile SPV, LLC, submitted a Form D filing with the SEC on July 24, 2026, claiming exemption under Investment Company Act Section 3(c)(1).

Urban architecture of a government building with a clear blue sky in Montevideo, Uruguay.
Jul 25, 2026 #sec-filing#form-d#private-equity

Blackstone Private Equity Strategies Fund Files D/A on July 24, 2026

Blackstone Private Equity Strategies Fund (TE) L.P. submitted Form D/A filing 0001953940-26-000010 with the SEC under Section 3(c)(7).

Spacious and elegant wooden courtroom with empty seats, located in Bern, Switzerland.
Jul 25, 2026 #regulatory#sec-filing#3c7

Aptitude Alternative Equity LP Files D/A Amendment with SEC

Aptitude Alternative Equity LP submitted a D/A filing on July 24, 2026, claiming Section 3(c)(7) exemption under the Investment Company Act.

Close-up of the Department of Agriculture building facade under a clear blue sky.
Jul 25, 2026 #blackstone#sec-filing#section-3c7

Blackstone Private Equity Strategies Fund Files SEC Document

Blackstone Private Equity Strategies Fund L.P. submitted a regulatory filing under Section 3(c)(7) of the Investment Company Act on July 24, 2026.