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.
JS Venture Fund LLC Series A39 Files D/A With SEC
JS Venture Fund LLC Series A39 submitted a D/A filing to the SEC on 2026-07-15 under Section 3(c)(7) of the Investment Company Act.
Amaltas Capital India Fund LLC Files D/A With SEC
Amaltas Capital India Fund LLC submitted a D/A filing to the SEC on July 15, 2026, claiming Section 3(c)(7) exemption.
Mainsheet Capital Partners, LLC Files With SEC EDGAR on July 15, 2026
Mainsheet Capital Partners, LLC (CIK 0002141840) submitted a 5 KB filing to the SEC on July 15, 2026 under accession number 0002141840-26-000001.
Balaji Rolling Fund, LP Files D/A Amendment on SEC EDGAR
Balaji Rolling Fund, LP submitted a D/A filing on 2026-07-15 claiming Sections 3(c)(1) and 3(c)(7) exemptions under the Investment Company Act.
AG Direct Lending Fund V Files Amended Form D/A
AG Direct Lending Fund V (Levered) Structured Note, L.P. submitted a Form D/A filing with the SEC on 2026-07-15 claiming Section 3(c)(7) exemption.
Redwood Digital Offshore Fund I Files 3(c)(1) Amendment
Redwood Digital Offshore Fund I, Ltd submitted a D/A filing on July 15, 2026 claiming exemption under Section 3(c)(1).
Heartwood Partners V-A, LP Files SEC Notice Claiming 3(c)(1) and 3(c)(7) Exemptions
Heartwood Partners V-A, LP submitted a 13 KB SEC filing on July 14, 2026, referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
Carrick Capital Associates Fund V Files SEC Notice on 3(c) Exemptions
Carrick Capital Associates Fund V, L.P. filed an SEC notice on July 14, 2026 claiming exemptions under Investment Company Act Sections 3(c)(1) and 3(c)(7).
Callodine Asset Backed Credit Blocker Files SEC Document
Callodine Asset Backed Credit Blocker, LLC submitted a filing to the SEC on July 14, 2026.
Treasure Valley Hospital LP Files With SEC
Treasure Valley Hospital Limited Partnership filed a 9 KB document with the SEC on July 14 2026 under CIK 0001058908.
ARGA Emerging Markets Equity Fund Files SEC Notice
ARGA Emerging Markets Equity Fund, a series of ARGA Funds Trust, submitted a Section 3(c)(7) filing to the SEC on July 14, 2026.
ARGA International Fund Files 3(c)(7) Notice
ARGA International Fund, a series of ARGA Funds Trust, submitted a Section 3(c)(7) filing to the SEC on July 14, 2026.
ARGA Global Concentrated Fund Files 3(c)(7) Notice
ARGA Global Concentrated Fund, a series of ARGA Funds Trust, filed a Section 3(c)(7) notice with the SEC on July 14, 2026.
Foss Ohio 2027 Fund I, LLC Files with SEC
Foss Ohio 2027 Fund I, LLC submitted a filing to the SEC on 2026-07-14 under CIK 0002144862.
Elevation Capital IX LP Files 3(c)(7) Notice
Elevation Capital IX LP submitted a Section 3(c)(7) filing with the SEC on July 14, 2026.
D - 334 Douglass Street Partners, LLC Files With SEC
D - 334 Douglass Street Partners, LLC submitted a filing to the SEC on July 14, 2026.
Riot Ventures Select Fund I Files 3(c)(7) Notice
Riot Ventures Select Fund I, L.P. submitted a Section 3(c)(7) exemption filing to the SEC on July 14, 2026.
Neuberger Berman Emerging Market Debt Fund Files D/A With SEC
Neuberger Berman Emerging Market Debt Fund LLC submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 14, 2026.
Invesco Short Duration US Government Securities Fund Files D/A
Invesco Short Duration US Government Securities Fund, a series of Superstate Asset Trust, filed a D/A on 2026-07-14 citing Section 3(c)(7).
Neuberger Berman Files Amendment for Short Duration EM Debt Fund
Neuberger Berman Short Duration Emerging Market Debt Fund LLC submitted a Section 3(c)(7) amendment filing to the SEC on July 14, 2026.
Marathon Direct Lending Fund Files 3(c)(7) Amendment
Marathon Direct Lending Fund, LP submitted a D/A filing on July 14, 2026, referencing Section 3(c)(7) of the Investment Company Act.
D - Legacy Holdings Topco, L.P. Files SEC Document
D - Legacy Holdings Topco, L.P. submitted a filing to the SEC on July 14, 2026 under accession number 0002131743-26-000003.
Pinebridge Global Dynamic Absolute Return Fund LLC Files D/A With SEC
Pinebridge Global Dynamic Absolute Return Fund LLC submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 14, 2026.
SRF Offshore Plan Assets Opportunistic Credit Fund LP Files D/A
SRF Offshore Plan Assets Opportunistic Credit Fund LP submitted a D/A filing on 2026-07-14 under Investment Company Act Section 3(c)(7).
Clout Fund LLC Files D/A Amendment With SEC
Clout Fund LLC submitted a Form D/A filing on 2026-07-14 claiming Section 3(c)(1) exemption under the Investment Company Act.
SRF Onshore Plan Assets Opportunistic Credit Fund LP Files D/A
SRF Onshore Plan Assets Opportunistic Credit Fund LP submitted a D/A filing on 2026-07-14 claiming Section 3(c)(7) exemption.
1789 Capital Lakehouse III LP Files SEC Notice
D - 1789 Capital Lakehouse III LP submitted a filing to the SEC on 2026-07-14 referencing Section 3(c)(1) of the Investment Company Act.
D - Telligent Fund, LP Submits Section 3(c)(1) Filing
D - Telligent Fund, LP filed a notice under Investment Company Act Section 3(c)(1) with the SEC on July 14, 2026.
D - GR-0529 Fund I Files SEC Notice Claiming 3(c)(1) Exemption
D - GR-0529 Fund I, a series of MV Funds, LP, filed a notice with the SEC on 2026-07-14 claiming exemption under Section 3(c)(1) of the Investment Company Act.
D - VE-0526 Fund II Files 3(c)(1) Notice With SEC
D - VE-0526 Fund II, a series of Roll Up Vehicles, LP filed a Section 3(c)(1) notice with the SEC on July 14, 2026.
Telligent Fund II, LP Files SEC Notice Under 3(c)(1)
Telligent Fund II, LP submitted a filing to the SEC on July 14, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Pivot Holdings III LLC Files Form D on SEC EDGAR
Pivot Holdings III LLC submitted a Form D filing to the SEC on July 13, 2026.
Seraya Partners Fund II, LP Files D/A with SEC
Seraya Partners Fund II, LP submitted a D/A filing on July 13, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Open Title Texas Holdings, LLC Files D/A With SEC
Open Title Texas Holdings, LLC (CIK 0002108502) submitted a D/A filing on 2026-07-13 via SEC EDGAR.
Gelbourne Capital Partners Fund I Files D/A Amendment
Gelbourne Capital Partners Fund I, LP submitted a D/A filing to the SEC on July 13, 2026, claiming Section 3(c)(1) exemption.
EB5 Capital Jobs Fund 50 LLC Files with SEC EDGAR
EB5 Capital - Jobs Fund 50, LLC submitted a filing to SEC EDGAR on July 13, 2026 under accession number 0002144645-26-000001.
Seraya Partners Fund II Files D/A for 3(c)(1) and 3(c)(7) Exemptions
Seraya Partners Fund II (SEA), LP submitted a D/A filing on July 13, 2026, claiming Investment Company Act exemptions under Sections 3(c)(1) and 3(c)(7).
NISA Confluence Onshore Fund LP Files D/A with SEC
NISA Confluence Onshore Fund LP submitted a D/A filing referencing Section 3(c)(7) on July 13, 2026.
Institutional Drilling Fund III LP Files D/A on SEC EDGAR
Institutional Drilling Fund III LP submitted a D/A filing on July 13, 2026, according to SEC EDGAR records.
RL Investment Group LLC Files SEC Document July 13 2026
RL Investment Group LLC submitted a filing to the SEC on July 13 2026 under accession number 0001813406-26-000009.
AlphaKeys ExodusPoint Partners Fund Files SEC Notice July 13 2026
AlphaKeys ExodusPoint Partners Fund, L.P. submitted an SEC EDGAR filing on July 13 2026 referencing Section 3(c)(7) of the Investment Company Act.
NISA Confluence Offshore Fund Ltd Files Form D Amendment
NISA Confluence Offshore Fund Ltd submitted a Form D amendment on July 13 2026 claiming Section 3(c)(7) exemption.
D - Premier Roma Access Fund Files 3(c)(7) Notice
D - Premier Roma Access Fund, L.P. submitted an 8 KB SEC filing claiming Section 3(c)(7) exemption on 2026-07-13.
TL Managed Investments Files D/A With SEC
TL Managed Investments, L.P. submitted a D/A amendment under Investment Company Act Section 3(c)(7) on July 13, 2026.
D - FCP Venture X QP LLC Series XX Files SEC Notice
D - FCP Venture X QP LLC Series XX filed an exemption notice under Section 3(c)(7) of the Investment Company Act on July 13 2026.
WH Capital IX LLC Files SEC Notice for 3(c)(1) Exemption
WH Capital IX LLC submitted a Form D filing claiming Section 3(c)(1) exemption under the Investment Company Act.
D - AI Agent Fund I Files SEC Notice for 3(c)(1) Exemption
D - AI Agent Fund I a Series of FOG Ventures Fund III LLC filed a Section 3(c)(1) notice with the SEC on July 10, 2026.
Argent Vale Capital Inc. Files SEC Document on July 10 2026
Argent Vale Capital Inc. submitted a 7 KB filing to the SEC with accession number 0002141948-26-000001 on July 10 2026.
D - Creator Revenue Fund I Files 3(c)(1) Exemption Notice
D - Creator Revenue Fund I, LP submitted an SEC filing claiming exemption under Section 3(c)(1) of the Investment Company Act on July 10, 2026.
Valiant Peregrine Special Opportunities Fund 8 Files SEC Notice
Valiant Peregrine Special Opportunities Fund 8, L.P. submitted a Section 3(c)(7) filing with the SEC on July 10, 2026, according to SEC EDGAR.
