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.
Logos Global US Fund LP Files D/A With SEC EDGAR
Logos Global US Fund LP submitted a D/A filing under Investment Company Act Section 3(c)(7) on September 1 2026.
Bernstein Fund Series Files 3(c)(7) Amendment With SEC
Bernstein Diversified Targeted Services Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. filed a D/A amendment on September 1, 2026, claiming exemption under Section 3(c)(7).
North Ground Capital Opportunity Offshore Fund LP Files SEC Notice
North Ground Capital Opportunity Offshore Fund LP submitted a Section 3(c)(7) exemption filing to the SEC on September 1, 2026.
Fund 20 VA Salt Lake LP Submits D/A Filing
Fund 20 VA Salt Lake LP filed a D/A amendment with the SEC on September 1, 2026.
Logos Global US Fund LP Files D/A with SEC on 2026-09-01
Logos Global US Fund LP submitted a D/A filing referencing Section 3(c)(7) of the Investment Company Act on September 1, 2026.
Logos Global Offshore Fund Ltd. Files D/A on 2026-09-01
Logos Global Offshore Fund Ltd. submitted a D/A filing to the SEC on September 1 2026 referencing Section 3(c)(7).
AEA Investors Insurance Fund Series Files D/A on 2026-09-01
AEA Investors Insurance Fund Series of the SALI Multi-Series Fund, L.P. submitted a D/A filing referencing Section 3(c)(7) of the Investment Company Act.
LLJ Multifamily Ventures 21, LLC Files with SEC EDGAR
LLJ Multifamily Ventures 21, LLC submitted a filing to the SEC on September 1, 2026 under accession number 0001683168-26-006859.
Alkeon Insurance Growth Fund Series Files 3(c)(7) Notice
SALI Multi-Series Fund, L.P. filed a D/A notice for Alkeon Insurance Growth Fund Series Interests under Section 3(c)(7) on September 1, 2026.
StepStone VC Secondaries Fund VII LP Files D/A on 2026-09-01
StepStone VC Secondaries Fund VII LP submits D/A filing claiming Section 3(c)(7) exemption under the Investment Company Act.
StepStone VC Secondaries Fund VII (Cayman) LP Files SEC Document
StepStone VC Secondaries Fund VII (Cayman) LP submitted a filing to the SEC on September 1, 2026 under Investment Company Act Section 3(c)(7).
StepStone VC Secondaries Fund VII-I LP Files SEC Notice
StepStone VC Secondaries Fund VII-I LP submitted a D/A filing to the SEC on September 1, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Cambrian Thesis Capital Fund Files 3(c)(1) Notice With SEC
Cambrian Thesis Capital Fund, LP submitted a Section 3(c)(1) exemption filing to the SEC on September 1, 2026.
StepStone VC Secondaries Fund VII-I Files D/A Amendment
StepStone VC Secondaries Fund VII-I (Cayman) LP submitted a D/A filing on 2026-09-01 under Investment Company Act Section 3(c)(7).
D - LO-0217 Fund I Files 3(c)(1) Notice
D - LO-0217 Fund I, a series of Roll Up Vehicles, LP submitted a Section 3(c)(1) filing on 2026-08-26.
Gaingels Fund I Files SEC Notice Under Section 3(c)(1)
Gaingels Fund I, a series of Zachary Ginsburg Funds, LP, submitted a Section 3(c)(1) filing with the SEC on August 26, 2026.
Exitfund Venture Files for D-LI-0718 Fund I Series
Exitfund Venture, LP submitted a regulatory filing for its D-LI-0718 Fund I series claiming a Section 3(c)(1) exemption.
D - BE-0408 Fund IV Files SEC Notice Claiming 3(c)(1) Exemption
D - BE-0408 Fund IV, a series of Roll Up Vehicles, LP filed a notice with the SEC on 2026-08-26 under Section 3(c)(1) of the Investment Company Act.
D-RE-0711 Fund II Files 3(c)(1) Notice With SEC
D-RE-0711 Fund II, a series of Climate Collective LP, submitted a Section 3(c)(1) filing to the SEC on August 26, 2026.
Pilot Point EB-5 Fund Files SEC 3(c)(1) Exemption Notice
D - Pilot Point EB-5 Fund, LLC submitted a Section 3(c)(1) exemption filing to the SEC on August 25, 2026.
Roers Affordable Housing Fund II LLC Files D/A With SEC
Roers Affordable Housing Fund II LLC submitted a D/A filing to the SEC on August 25 2026 claiming Section 3(c)(1) exemption.
WMA International ex-US ex-HK Active Extension Onshore Fund LP Files D/A
WMA International ex-US ex-HK Active Extension Onshore Fund LP submitted a D/A filing under Section 3(c)(7) on August 25, 2026.
BGA Private Opportunities Fund Files D/A for Digital Infrastructure Series
BGA Private Opportunities Fund, LLC - Digital Infrastructure Series submitted a D/A filing to the SEC on August 25, 2026 under Section 3(c)(7).
Crossroads Capital Investment Partners Files SEC Document
Crossroads Capital Investment Partners, LP submitted a filing to the SEC on August 25, 2026 under Investment Company Act Section 3(c)(1).
AspenView Technology Partners Files SEC Document on August 21 2026
AspenView Technology Partners, Inc. submitted a filing to the SEC on August 21 2026 with accession number 0002076209-26-000002.
Apollo Global Management Files D/A Amendment on August 25, 2026
Apollo Global Management, Inc. submitted Form D/A filing 0000950142-26-002424 to the SEC on August 25, 2026.
Axar Offshore Fund Files D/A with SEC
Axar Offshore Fund, Ltd. submitted a D/A filing on August 21, 2026, citing Section 3(c)(7) of the Investment Company Act according to SEC EDGAR.
Long Angle Investments LLC Files Millennium Blocker 2026 SPV Notice
Long Angle Investments LLC submitted an SEC filing for its Millennium Blocker 2026 SPV on August 21, 2026, claiming Section 3(c)(7) exemption.
PennantPark Credit Secondary Offshore Fund Files SEC Notice
D - PennantPark Credit Secondary (Offshore) Fund LP submitted a Section 3(c)(7) filing to the SEC on August 21, 2026.
Gondolin Capital LP Submits SEC Filing on August 25 2026
Gondolin Capital LP filed documents with the SEC under CIK 0002149931 on August 25 2026 according to SEC EDGAR.
WMA International ex-US ex-HK Active Extension Offshore Fund Files D/A
WMA International ex-US ex-HK Active Extension Offshore Fund, Ltd. submitted a D/A filing on August 25, 2026 referencing Section 3(c)(7).
BetterFutureLabs Holdings LLC Files 3(c)(1) Notice with SEC
BetterFutureLabs Holdings LLC submitted a filing on Section 3(c)(1) of the Investment Company Act on August 25, 2026, per SEC EDGAR records.
D - Grove Funding VI LLC Files SEC Notice on August 25 2026
D - Grove Funding VI LLC submitted a Section 3(c)(7) filing to the SEC on August 25 2026 under the Investment Company Act.
Fortress Lending Fund V (U-B) I.L.P. Files SEC Notice
Fortress Lending Fund V (U-B) I.L.P. submitted a Form D filing under Section 3(c)(7) of the Investment Company Act on August 25, 2026.
Aisling Arcturus Partners LP Files Section 3(c)(7) Notice
Aisling Arcturus Partners LP submitted a Section 3(c)(7) filing under the Investment Company Act on August 25, 2026.
BetterFutureLabs Fund I LP Files 3(c)(1) Notice with SEC
BetterFutureLabs Fund I LP submitted a Section 3(c)(1) exemption filing to the SEC on August 25, 2026, under filer ID 0002088179.
Lotus Technology Offshore Fund Files With SEC
Lotus Technology Offshore Fund, LP submitted a filing to the SEC on August 25, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Axar Onshore Fund Files D/A Claiming 3(c)(7) Exemption
Axar Onshore Fund, LLC submitted a D/A filing on August 21, 2026 referencing Section 3(c)(7) of the Investment Company Act.
Schroders Capital Securitized Hi-Grade Flexible Total Return Files SEC Form
Schroders Capital Securitized Hi-Grade Flexible Total Return, L.P. submitted a filing to the SEC on August 25, 2026 under Section 3(c)(7).
IITM Unicorn Frontier Fund I Files D/A on August 25, 2026
IITM Unicorn Frontier Fund I, LP submitted a D/A filing referencing Section 3(c)(1) of the Investment Company Act.
SCVC Advisors Files 3(c)(1) Notice for SCVC-PR-0806 Fund I
SCVC Advisors, LP filed a Section 3(c)(1) notice for D - SCVC-PR-0806 Fund I on August 25, 2026, according to SEC EDGAR.
Origin US Feeder Fund Submits D/A Filing to SEC
Origin US Feeder Fund files D/A notice with the SEC under Section 3(c)(7) of the Investment Company Act on August 25, 2026.
Schroder QEP Global Core Fund Files D/A With SEC
Schroder QEP Global Core Fund, L.P. submitted a D/A filing to the SEC on August 25, 2026 under Section 3(c)(7).
QR Digital Infrastructure Fund LP Files SEC Notice
QR Digital Infrastructure Fund LP submitted a filing under Section 3(c)(7) of the Investment Company Act on August 24, 2026, according to SEC EDGAR.
Roland Equity Partners II LLC Files SEC Notice Under Sections 3(c)(1) and 3(c)(7)
D - Roland Equity Partners II LLC submitted a filing to the SEC on August 24, 2026, referencing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Stax Capital Funding, LP Files SEC Document on August 24, 2026
Stax Capital Funding, LP submitted a filing to the SEC on 2026-08-24 with accession number 0002151676-26-000001.
AB CarVal Asset Based Fund A LP Files D/A on August 24 2026
AB CarVal Asset Based Fund A LP submitted a D/A filing to the SEC citing Section 3(c)(7) of the Investment Company Act.
Raith Real Estate Fund IV AIV Feeder LP Files SEC Notice
Raith Real Estate Fund IV AIV Feeder LP filed a notice claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
APC Short Duration High Yield Fund Files Form D Amendment
APC Short Duration High Yield Fund, LP submitted a Form D amendment under Section 3(c)(1) on August 24, 2026.
TGN Ventures Fund I, LP Files SEC Notice Under 3(c)(1)
TGN Ventures Fund I, LP submitted a filing with the SEC on August 24, 2026, referencing Section 3(c)(1) of the Investment Company Act.
