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.
Triton Fund 6 SCSp Files for Investment Company Act Exemptions
Triton Fund 6 SCSp submitted a SEC filing on April 30, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
D - ZE-01271 Fund I Files Section 3(c)(1) Exemption with SEC
D - ZE-01271 Fund I, a series of Roll Up Vehicles, LP, submitted a regulatory filing on April 30, 2026, referencing Item 3C.1 under the Investment Company Act Section 3(c).
BluVenture 2026 US Fund 41 Files Under Investment Company Act Section 3(c)(1)
BluVenture 2026 US Fund 41, a series of Platform Funds 2026, LP, filed a notice under Section 3(c)(1) of the Investment Company Act on April 30, 2026, according to SEC EDGAR.
EquityZen Growth Technology Fund LLC Series 2241 Files for Section 3(c)(1) Exemption
EquityZen Growth Technology Fund LLC - Series 2241 submitted a SEC filing on April 29, 2026, related to Item 3C of the Investment Company Act, specifically Section 3(c)(1).
Spatial Capital Fund I LP Files SEC Document Under Section 3(c)(1)
Spatial Capital Fund I LP submitted a SEC filing on April 29, 2026, citing Section 3(c)(1) of the Investment Company Act for exemption purposes.
Prismic Life Management HoldCo Files Under Investment Company Act Section 3(c)(7)
D - Prismic Life Management HoldCo, LLC filed a document under Section 3(c)(7) of the Investment Company Act on April 29, 2026, as per SEC EDGAR records.
Pioneer Square Ventures Fund III L.P. Files SEC Document for Section 3(c)(7)
Pioneer Square Ventures Fund III, L.P. filed a document with the SEC on April 29, 2026, related to Section 3(c)(7) of the Investment Company Act.
Forvm Global Enhanced Inflation Fund LP Files Under Section 3(c)(7)
Forvm Global Enhanced Inflation Fund LP filed a document with the SEC on April 29, 2026, citing Section 3(c)(7) of the Investment Company Act.
BlackOak Alpha Growth Fund Files SEC Document for Section 3(c)(1)
BlackOak Alpha Growth Fund, LP filed a SEC document on April 29, 2026, related to Investment Company Act Section 3(c)(1).
Forvm Global Enhanced Inflation Fund Files Under Section 3(c)(7)
Forvm Global Enhanced Inflation Fund Ltd submitted a SEC filing on April 29, 2026, under Section 3(c)(7) of the Investment Company Act.
Catatumbo Capital Partners Onshore Fund LP Files Under Section 3(c)(7)
D/A - Catatumbo Capital Partners Onshore Fund LP submitted a SEC filing on April 29, 2026, under Item 3C.7 for Section 3(c)(7) of the Investment Company Act.
KKR Multi-Asset Class Credit Fund Files SEC Exemption Document
KKR's Multi-Asset Class Credit Fund submitted a SEC filing on April 29, 2026, for an exemption under Section 3(c)(7) of the Investment Company Act.
Alpha Caddy Partners LP Files Under Investment Company Act Section 3(c)(1)
Alpha Caddy Partners LP filed a document on April 29, 2026, related to Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR records.
Carlyle Partners Potomac SPV Feeder, L.P. Files SEC Document on Investment Company Act Section 3(c)(7)
Carlyle Partners Potomac SPV Feeder, L.P. filed a 10 KB document with the SEC on April 29, 2026, related to Section 3(c)(7) of the Investment Company Act.
DSC Meridian Fund Files for Section 3(c)(7) Exemption
DSC Meridian Credit Opportunities Onshore Fund LP filed a notice under Section 3(c)(7) of the Investment Company Act on April 29, 2026, according to SEC EDGAR.
DG Systematic Trading Fund L.P. Files SEC Document on Section 3(c)(7)
DG Systematic Trading Fund L.P. filed a SEC document on April 29, 2026, related to Investment Company Act Section 3(c)(7).
Clear Height Crossroads Industrial Fund II Files SEC Notice for Section 3(c)(1)
Clear Height Crossroads Industrial Fund II, L.P. filed a SEC document on April 29, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Todd & Rahul's Angel Deals, LP Files Under Investment Company Act Section 3(c)(1)
D - LA-0319 Fund I, a series of Todd & Rahul's Angel Deals, LP, filed a SEC document on April 29, 2026, citing Section 3(c)(1) of the Investment Company Act.
Zachary Ginsburg Funds LP Files for PR-1217 Fund III Under SEC Exemption
Zachary Ginsburg Funds LP submitted a filing for its PR-1217 Fund III series on April 29, 2026, referencing Section 3(c)(1) of the Investment Company Act.
CCL Funds LP Files for Investment Company Act Exemption
D - BO-0223 Fund I, a series of CCL Funds LP, filed a document under Section 3(c)(1) of the Investment Company Act on April 29, 2026.
D - BO-1008 Fund II Files SEC Document for Section 3(c)(1)
D - BO-1008 Fund II, a series of Roll Up Vehicles, LP, filed a SEC document on April 29, 2026, related to Section 3(c)(1) of the Investment Company Act.
SK-0317 Fund I Files Under Investment Company Act Section 3(c)
D - SK-0317 Fund I, a series of MV Funds, LP, filed a document with the SEC on April 29, 2026, related to Section 3(c)(1) of the Investment Company Act.
Isabella Investments Feeder Fund LP Files Under Section 3(c)(7)
Isabella Investments Feeder Fund LP filed a SEC form on April 28, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Baird Capital Blue Matter CV-A LP Files Under Investment Company Act Section 3(c)(1)
Baird Capital Blue Matter CV-A LP filed a SEC EDGAR document on April 28, 2026, related to Section 3(c)(1) of the Investment Company Act.
Isabella Investments Master Fund Ltd Files Under Section 3(c)(7)
Isabella Investments Master Fund Ltd submitted a SEC filing on April 28, 2026, related to Section 3(c)(7) of the Investment Company Act.
Equitybee cFund Master LLC Series Files for Section 3(c)(1) Exemption
Equitybee 22-91858, a series of Equitybee cFund Master LLC, filed a document under Section 3(c)(1) of the Investment Company Act on April 28, 2026.
Equitybee cFund Series Files Under Investment Company Act Section 3(c)(1)
D - Equitybee 22-62267, a series of Equitybee cFund Master LLC, filed a SEC document on April 28, 2026, citing Section 3(c)(1) of the Investment Company Act.
Isabella Investments Feeder Fund Ltd Files Under Section 3(c)(7)
Isabella Investments Feeder Fund Ltd submitted a filing on April 28, 2026, related to Section 3(c)(7) of the Investment Company Act.
Setting Capital Fund I L.P. Files Section 3(c)(1) Exemption
D - Setting Capital Fund I, L.P. filed a notice under Section 3(c)(1) of the Investment Company Act on April 28, 2026, as per SEC records.
Forge Investments, LLC Files D/A for Fund FG-VNR Under Section 3(c)(1)
Forge Investments, LLC submitted a definitive amendment filing for Fund FG-VNR on April 28, 2026, referencing Section 3(c)(1) of the Investment Company Act.
FERMA Value Add Office Fund I LLC Files Under SEC Section 3(c)(1)
D - FERMA Value Add Office Fund I LLC submitted a filing to SEC EDGAR on April 28, 2026, related to Section 3(c)(1) of the Investment Company Act.
Two Sigma Beacon Fund LP Files Under Section 3(c)(7)
Two Sigma Beacon Fund LP filed a document with the SEC on April 28, 2026, related to Section 3(c)(7) of the Investment Company Act.
Forge Investments, LLC Files SEC Document for Fund FG-VMS Under Section 3(c)(1)
Forge Investments, LLC submitted a SEC filing on April 28, 2026, for Fund FG-VMS, citing exemption under Section 3(c)(1) of the Investment Company Act.
Collab Air Opportunities Fund Files Under Section 3(c)(7)
D - Collab Air Opportunities Fund, L.P. submitted a SEC filing on April 28, 2026, related to the Investment Company Act Section 3(c)(7).
Forge Investments LLC Files SEC Document for Fund FG-VDA
Forge Investments LLC submitted a SEC EDGAR filing on April 28, 2026, for Fund FG-VDA under Section 3(c)(1) of the Investment Company Act.
Forge Investments LLC Files for Fund FG-UYF Under Section 3(c)(1)
On April 28, 2026, Forge Investments LLC filed a document for Fund FG-UYF, referencing Section 3(c)(1) of the Investment Company Act, as per SEC EDGAR records.
3PIM India Equity (IFSC) Fund Files Under Section 3(c)(7)
The 3PIM India Equity (IFSC) Fund submitted a SEC filing on April 28, 2026, related to Section 3(c)(7) of the Investment Company Act.
WCB Equity Fund Files SEC Form for Investment Company Act Exemption
D - WCB Equity Fund, LP filed a SEC document on April 28, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
EM-0112 Fund I Files for SEC Exemption Under Section 3(c)(1)
D - EM-0112 Fund I, a series of Roll Up Vehicles, LP, filed a notice with the SEC on April 28, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
RU-0403 Fund I Files Under Investment Company Act Section 3(c)(1)
D - RU-0403 Fund I, a series of Roll Up Vehicles, LP, filed a document with SEC EDGAR on April 28, 2026, citing Section 3(c)(1) of the Investment Company Act.
EL-0205 Fund II Files SEC Form for Section 3(c)(1) Exemption
D - EL-0205 Fund II, a series of Roll Up Vehicles, LP, filed a SEC document on April 28, 2026, under Item 3C for Section 3(c)(1) of the Investment Company Act.
Sajid Rahman Angel Funds Files for Section 3(c)(1) Exemption
Sajid Rahman Angel Funds, LP filed for an exemption under Section 3(c)(1) of the Investment Company Act for AR-0113 Fund I on April 28, 2026.
Exitfund Venture LP Files Section 3(c)(1) Exemption for AI-0115 Fund I
Exitfund Venture LP filed a SEC document for its AI-0115 Fund I under Section 3(c)(1) of the Investment Company Act on April 28, 2026.
Sphera Biotech US Fund Files SEC Document Under Section 3(c)(7)
Sphera Biotech US Fund, L.P. filed a regulatory document with the SEC on April 27, 2026, citing Item 3C and Section 3(c)(7) of the Investment Company Act.
Sphera Global Healthcare Fund Files Under Section 3(c)(7)
Sphera Global Healthcare Fund submitted a SEC filing on April 27, 2026, related to Investment Company Act Section 3(c)(7).
Rosemawr Capital VII LP Files SEC Document for Section 3(c)(7)
Rosemawr Capital VII LP filed a document with the SEC on April 27, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
Brighter Private Credit Fund LP Files SEC Document on Section 3(c)(1)
Brighter Private Credit Fund LP submitted a filing to SEC EDGAR on April 27, 2026, related to Investment Company Act Section 3(c)(1).
BlackOak Alpha Growth Fund LP Files Under Investment Company Act Section 3(c)(1)
BlackOak Alpha Growth Fund LP filed a document on April 27, 2026, related to Section 3(c)(1) of the Investment Company Act, as reported in SEC EDGAR filings.
Forge Investments LLC Files for Fund FG-SMP Exemption
Forge Investments LLC submitted a filing for its Fund FG-SMP series under Section 3(c)(1) of the Investment Company Act on April 27, 2026.
Forge Investments LLC Files for Fund FG-TJC Under Section 3(c)(1)
Forge Investments LLC submitted a SEC filing for its Fund FG-TJC series on April 27, 2026, invoking Section 3(c)(1) of the Investment Company Act.
