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.

3307 stories • Updated multiple times daily
Hands using digital devices for financial analysis at a modern desk setup.
May 21, 2026 #regulatory#sec-filing#iconiq

ICONIQ Strategic Partners VIII Co-Invest Files SEC Notice

ICONIQ Strategic Partners VIII Co-Invest, L.P. (Series A3) submitted a filing under the Investment Company Act on May 21, 2026.

Low angle view of a modern building facade in Brussels with bright sunlight and blue sky.
May 21, 2026 #sec-filing#3c1-exemption#investment-company-act

BSTN Fund One, LLC Files SEC Notice Claiming 3(c)(1) Exemption

BSTN Fund One, LLC submitted a filing to the SEC on May 21, 2026, referencing Section 3(c)(1) of the Investment Company Act.

Businessman signing important documents at office desk.
May 21, 2026 #sec-filing#investment-company-act#private-fund

Cambium Capital Tamarind LP Files SEC Notice on 3(c)(1) and 3(c)(7) Exemptions

Cambium Capital Tamarind LP submitted a filing to the SEC on May 21, 2026, referencing Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.

Historic courthouse facade with statue and American flag in daylight.
May 21, 2026 #bedford-ridge#sec-filing#3c7-exemption

Bedford Ridge Investment Co XII Files SEC Notice Under 3(c)(7)

Bedford Ridge Investment Co XII, LP filed a notice with the SEC claiming exemption from the Investment Company Act under Section 3(c)(7).

A lawyer's desk featuring a justice statue, diploma, laptop, magnifying glass, and documents.
May 21, 2026 #sec-filing#3c7-exemption#investment-company-act

ICQ Investments 8TY, LP Files SEC Notice Claiming 3(c)(7) Exemption

D - ICQ Investments 8TY, LP submitted a Form 3C filing to the SEC on May 21, 2026, electing exemption under Section 3(c)(7) of the Investment Company Act.

A hand holding a pen signing a document, close-up shot with focus on the paper.
May 21, 2026 #sec-filing#credit-fund#regulatory

OHA Direct Credit Fund Files With SEC on May 21 2026

OHA Direct Credit Fund (0002097023) submitted a 12 KB SEC filing on May 21 2026 under accession number 0002097023-26-000001.

Close-up of hands signing a contract on a desk with office supplies, symbolizing legal agreements.
May 21, 2026 #sec-filing#3c7-exemption#venture-fund

D - GC Venture XII (A-IV), L.P. Files SEC Notice

D - GC Venture XII (A-IV), L.P. submitted a filing to the SEC on May 21, 2026 claiming exemption under Section 3(c)(7) of the Investment Company Act.

Grand courthouse in Cedar Rapids with an American flag in a bright blue sky.
May 21, 2026 #sec-filing#form-d#emerging-manager

X-Growth Funding LLC Files SEC Document May 21 2026

X-Growth Funding LLC submitted a filing to the SEC on May 21, 2026 under accession number 0002136344-26-000001.

Front view of the iconic United States Capitol with dramatic evening sky.
May 21, 2026 #sec-filing#capitalize-investments#oshi-series

Capitalize Investments LLC Files SEC Notice for Oshi I Series

Capitalize Investments LLC submitted a filing for D - Oshi I series to the SEC on May 21, 2026.

A close-up image showing a hand holding a pen while signing a document.
May 21, 2026 #sec-filing#offshore-fund#3c7-exemption

CoastEdge Focus Fund Offshore LLC Files D/A with SEC

CoastEdge Focus Fund Offshore LLC submitted a D/A filing to the SEC on May 21, 2026, referencing Section 3(c)(7) of the Investment Company Act.

Urban architecture of a government building with a clear blue sky in Montevideo, Uruguay.
May 21, 2026 #sec-filing#3c7#distressed-fund

CoastEdge Distressed Fund Submits SEC Filing on May 21 2026

CoastEdge Distressed & Special Situations Fund LLC filed a notice under Investment Company Act Section 3(c)(7) with the SEC on May 21 2026.

Scrabble letter tiles on a wooden background forming the word "Policy".
May 21, 2026 #sec-filing#3c7#private-fund

Capstone Mount Washington Fund, LP Files D/A on SEC EDGAR

Capstone Mount Washington Fund, LP submitted a D/A filing to the SEC on May 21, 2026 referencing Section 3(c)(7).

Front view of the historic Idaho State Capitol Building under blue skies in Boise.
May 21, 2026 #sec-filing#form-d#weed-investment-group

Weed Investment Group Files SEC Form D on May 21, 2026

Weed Investment Group, Inc. submitted a Form D filing to the SEC with accession number 0001720449-26-000002 on May 21, 2026.

A prominent historic building in Brigham City, Utah, covered in snow during winter.
May 20, 2026 #sec-filing#3c7#private-fund

Proteus Master Fund I Files Amendment with SEC

Proteus Master Fund I, LLC submitted a D/A filing to the SEC on May 20, 2026 under Investment Company Act Section 3(c)(7).

A pile of Euro and Turkish Lira banknotes scattered on a wooden surface, showcasing various denominations.
May 20, 2026 #blackstone#sec-filing#3c7

Blackstone Infrastructure Partners F.3 Files SEC Amendment on May 20 2026

Blackstone Infrastructure Partners F.3 (Lux) SCSp submitted a D/A filing to the SEC on May 20 2026 referencing Section 3(c)(7).

Front view of the historic Hampton Courthouse in Virginia, showcasing Neoclassical architecture.
May 20, 2026 #sec-filing#blackstone#infrastructure

Blackstone Infrastructure Partners Files D/A with SEC

Blackstone Infrastructure Partners F.1 L.P. submitted a D/A filing to the SEC on May 20, 2026 referencing Investment Company Act Section 3(c)(7).

Modern skyscrapers and a footbridge in Frankfurt under overcast skies.
May 20, 2026 #sec-filing#blackstone#infrastructure

Blackstone Infrastructure Partners F.2 L.P. Files SEC Notice

Blackstone Infrastructure Partners F.2 L.P. submitted a filing to the SEC on May 20, 2026, referencing Section 3(c)(7) of the Investment Company Act.

A professional individual signs legal documents at a desk in an office setting.
May 20, 2026 #sec-filing#3c7#proteus-master-fund

Proteus Master Fund I Files SEC Notice Under Section 3(c)(7)

Proteus Master Fund I, LLC submitted a filing with the SEC on May 20, 2026, referencing Section 3(c)(7) of the Investment Company Act.

Aerial shot of the Supreme Court Building's architectural details in Melbourne, Australia.
May 20, 2026 #regulatory#sec-filing#investment-company-act

MG&A Private Assets Master Fund Files SEC D/A for 3(c)(7)

MG&A Private Assets Master Fund, LLC submitted a D/A filing to the SEC on May 20, 2026, referencing Section 3(c)(7) of the Investment Company Act.

Top view of scrabble tiles spelling 'DOCUMENTS' on various contracts and agreements.
May 20, 2026 #Blackstone#Infrastructure#SEC Filing

Blackstone Infrastructure Partners Files D/A for F.3 (Lux) SCSp

Blackstone Infrastructure Partners F.3 (Lux) SCSp submitted a D/A filing to the SEC on May 20 2026 under Section 3(c)(7).

Aerial view of a private property sign marked in an alleyway, captured in black and white.
May 20, 2026 #sec-filing#3c7-exemption#private-fund

MG&A Private Assets Master Fund Files D/A Notice with SEC

MG&A Private Assets Master Fund, LLC submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on May 20, 2026.

Front view of the Supreme Court building in New York City with blue skies.
May 20, 2026 #regulatory#sec-filing#3c1

Nidhiksh Investments Inc Files 3(c)(1) Notice with SEC

Nidhiksh Investments Inc submitted a filing to the SEC on May 20 2026 referencing Section 3(c)(1) of the Investment Company Act.

Wooden letter blocks spelling tariffs, China, and USA representing trade relations.
May 20, 2026 #sec-filing#3c1-exemption#private-fund

Fundomo ME-002, LP Files SEC Notice Under Section 3(c)(1)

Fundomo ME-002, LP submitted a filing to the SEC on May 20, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.

Majestic view of the Idaho State Capitol with its iconic dome under a cloudy sky.
May 20, 2026 #sec-filing#blackstone#infrastructure

Blackstone Infrastructure Partners Files D/A for F.2 L.P.

Blackstone Infrastructure Partners F.2 L.P. submitted a D/A filing to the SEC on May 20, 2026, referencing Section 3(c)(7) of the Investment Company Act.

A professional individual signs legal documents at a desk in an office setting.
May 20, 2026 #sec-filing#investment-fund#regulatory-notice

Linden Private Income Fund I LP Files SEC Notice

Linden Private Income Fund I LP submitted an SEC filing on May 20 2026 referencing Investment Company Act Section 3(c) exemptions.

A prominent historic building in Brigham City, Utah, covered in snow during winter.
May 20, 2026 #sec-filing#3c7-exemption#offshore-fund

Coatue Long Only Offshore Fund Files SEC Amendment

Coatue Long Only Offshore Fund, Ltd. submitted a D/A filing to the SEC on May 20, 2026 under Section 3(c)(7).

Interior view of an American courthouse in Kirksville, Missouri, featuring a judge's desk and flags.
May 20, 2026 #blackstone#sec-filing#3c7

Blackstone Infrastructure Partners F.1 L.P. Submits D/A Filing

Blackstone Infrastructure Partners F.1 L.P. files D/A on May 20 2026 referencing Investment Company Act Section 3(c)(7) per SEC EDGAR.

Low-angle shot of a historical brick courthouse featuring arched windows and architectural details.
May 20, 2026 #sec-filing#regulatory#fund-amendment

Mandalay Priority Income Fund I, LP Files D/A with SEC

Mandalay Priority Income Fund I, LP submitted a D/A filing to the SEC on May 20, 2026.

Two professionals examining a divorce decree with a Lady Justice statue nearby.
May 20, 2026 #regulatory#sec-filing#spv

Manole Capital Files D/A for Source Digital IV SPV

Manole Capital, LLC submitted a D/A filing for Source Digital IV SPV under Section 3(c)(1) of the Investment Company Act on May 20, 2026.

Close-up of a hand signing documents with a pen, symbolizing an important business contract.
May 20, 2026 #sec-filing#private-fund#3c7

Linden Private Income Fund I (QP) LP Files SEC Notice

Linden Private Income Fund I (QP) LP submitted a filing to the SEC on May 20, 2026, referencing Section 3(c)(7).

Historic courthouse facade with statue and American flag in daylight.
May 20, 2026 #abakkus-growth-fund#sec-edgar#3c1-exemption

Abakkus Growth Fund Files 3(c)(1) Notice with SEC

Abakkus Growth Fund Open Ended submitted a Section 3(c)(1) filing to the SEC on May 20 2026 under accession number 0002131519-26-000001.

Euro banknotes scattered on a trading chart with a calculator, symbolizing finance and analysis.
May 20, 2026 #sec-filing#edgar-record#regulatory-submission

D-CRE Capital P010 LLC Files SEC Document May 2026

D-CRE Capital P010 LLC submitted a filing to the SEC on May 20 2026 according to EDGAR records.

Unrecognizable medical worker demonstrating money wearing medicine form standing near white wall in hospital while working in day of salary
May 20, 2026 #sec-filing#form-d#healthcare-fund

D - OT Healthcare Fund III, LLC Files SEC Document

D - OT Healthcare Fund III, LLC submitted a filing to the SEC EDGAR system on May 20, 2026.

Prohibition parking road sign with Subject To Ticket inscription placed on street of city near concrete barrier in evening time
May 20, 2026 #regulatory#private-funds#sec-filing

DPV Titan I Series Files 3(c)(7) Notice With SEC

DataPower Capital Partners LLC filed a D/A notice for its DPV Titan I series under Section 3(c)(7) of the Investment Company Act on May 20, 2026.

Top view of scrabble tiles spelling 'DOCUMENTS' on various contracts and agreements.
May 20, 2026 #sec-filing#edgar#kittredge-investment-partners

Kittredge Investment Partners, LLC Files with SEC

Kittredge Investment Partners, LLC (CIK 0002135581) submitted a filing to the SEC on May 20, 2026.

Detailed view of a stock market screen showing numbers and data, symbolizing financial trading.
May 20, 2026 #sec-filing#private-fund#d-a-amendment

Lending Alliance Resort Partners Files D/A on SEC EDGAR

Lending Alliance Resort Partners, LP submitted a D/A filing to SEC EDGAR on May 20, 2026 with accession number 0002128842-26-000003.

Urban architecture of a government building with a clear blue sky in Montevideo, Uruguay.
May 19, 2026 #sec-filing#3c7-exemption#offshore-fund

Mudrick Co-Investment Opportunity III Offshore Files SEC Notice

Mudrick Co-Investment Opportunity III Offshore, L.P. submitted a Section 3(c)(7) filing to the SEC on May 19, 2026.

The historic Palais de Justice in Nice, showcasing classic French architectural design.
May 19, 2026 #regulatory#sec-filing#investment-company-act

BC Partners Fly Co-Investment LP Files SEC Notice

BC Partners Fly Co-Investment LP submitted a filing to the SEC on May 19, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.

Elegant neoclassical facade of Dublin's Four Courts with iconic white columns.
May 19, 2026 #sec-filing#3c7-exemption#mudrick-fund

Mudrick Stressed Credit Fund Ltd. Files SEC Document May 19 2026

Mudrick Stressed Credit Fund Ltd. submitted a D/A filing to the SEC on May 19 2026 referencing Section 3(c)(7) of the Investment Company Act.

Historic courthouse facade with statue and American flag in daylight.
May 19, 2026 #regulatory-filing#sec-notice#co-investment

D - MCP Co-Investment Fund 2026 I C.V. Files SEC Notice

D - MCP Co-Investment Fund 2026 I C.V. submitted an 8 KB filing to the SEC on May 19, 2026, referencing Investment Company Act Section 3(c)(7).

Front view of the historic Barnstable County Courthouse with a prominent statue and flag.
May 19, 2026 #sec-filing#blue-cheese-investments#edgar-submission

Blue Cheese Investments LLC Files with SEC EDGAR

Blue Cheese Investments LLC submitted a filing to the SEC on May 19, 2026, according to SEC EDGAR records.

Historic courthouse facade with statue and American flag in daylight.
May 19, 2026 #regulatory#sec-filing#investment-company-act

140 Summer Partners Onshore LP Files D/A on May 19 2026

140 Summer Partners Onshore LP submitted a D/A filing to the SEC on May 19 2026 referencing Section 3(c)(7) of the Investment Company Act.

Close-up of hands exchanging divorce documents during legal proceedings in office.
May 19, 2026 #sec-filing#3c1#investment-company-act

3i Partners Fund II, LLC Files D/A with SEC

3i Partners Fund II, LLC submitted a D/A filing to the SEC on May 19, 2026, referencing Section 3(c)(1) of the Investment Company Act.

Wooden letter tiles arranged to spell 'Trading Rules' on a wooden surface.
May 19, 2026 #sec-filing#3c7#private-fund

MCP Co-Investment Fund 2026 I C.V. Files SEC Notice

D - MCP Co-Investment Fund 2026 I C.V. submitted an SEC filing on May 19 2026 referencing Section 3(c)(7) of the Investment Company Act.

Front view of the Royal Palace of Brussels with Belgian flag under a cloudy sky.
May 19, 2026 #regulatory#sec-filing#3c7

Mudrick Distressed Opportunity Fund Offshore Files SEC Document

Mudrick Distressed Opportunity Fund Offshore, Ltd. submitted a filing under Investment Company Act Section 3(c)(7) on May 19, 2026, according to SEC EDGAR records.

A modern multi-story courthouse building in Antalya, showcasing contemporary architecture.
May 19, 2026 #sec-filing#affordable-housing#fund-amendment

Roers Affordable Housing Fund LLC Files D/A with SEC

Roers Affordable Housing Fund LLC submitted a D/A filing to the SEC on May 19, 2026, per EDGAR records.

Aerial view of a historic building amidst a European cityscape under cloudy skies.
May 19, 2026 #regulatory#sec-filing#investment-company-act

Mudrick Distressed Opportunity Fund Offshore Files D/A With SEC

Mudrick Distressed Opportunity Fund Offshore, Ltd. submitted a D/A filing to the SEC on May 19, 2026, referencing Section 3(c)(7) of the Investment Company Act.

A professional individual signs legal documents at a desk in an office setting.
May 19, 2026 #sec-filing#3c7-exemption#fund-formation

D-III F-William Fund Files SEC Notice Claiming 3(c)(7) Exemption

D - IIIF-William Fund, LLC filed an SEC notice on May 19, 2026 referencing Section 3(c)(7) of the Investment Company Act.

Illuminated government building in Sofia, showing classic architectural design under a twilight sky.
May 19, 2026 #sec-filing#fund-amendment#regulatory

SPLY Capital Funds LLC Files D/A for Series 18

SPLY Capital Funds LLC submitted a D/A filing for Series 18 on May 19, 2026, according to SEC EDGAR.

Wooden letter tiles spelling 'Regulation' on a textured wood background, conveying themes of compliance and structure.
May 19, 2026 #sec-filing#3c1-exemption#private-fund

D - House Holdings 1.1, LP Files Section 3(c)(1) Notice

D - House Holdings 1.1, LP submitted an SEC filing on May 19, 2026, under Investment Company Act Section 3(c)(1).