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.
AE Industrial Partners Fund IV Files D/A on July 17 2026
AE Industrial Partners Fund IV LP submitted a D/A filing to the SEC on July 17 2026 claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Willow Tree Fund III (Unlevered) Files D/A With SEC
Willow Tree Fund III (Unlevered), LP submitted a D/A filing to the SEC on July 17, 2026 claiming a Section 3(c)(7) exemption.
Willow Tree Fund III Files D/A Claiming 3(c)(7) Exemption
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing on 2026-07-17 under Section 3(c)(7) of the Investment Company Act.
Willow Tree Fund III Files 3(c)(7) Amendment With SEC
Willow Tree Fund III (Unlevered), LP submitted a D/A filing on 2026-07-17 claiming the Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV-A Files D/A on 2026-07-17
AE Industrial Partners Fund IV-A, LP submitted a D/A filing to the SEC on 2026-07-17 referencing Investment Company Act Section 3(c) exemptions.
JB Investments Offshore Fund IV Files 3(c)(7) Notice
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing claiming the Section 3(c)(7) exemption under the Investment Company Act.
Willow Tree Fund III Files D/A With SEC
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing under Section 3(c)(7) on 2026-07-17.
JB Investments Offshore Fund IV Files D/A with SEC
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing on July 17, 2026 referencing Section 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV-A, LP Files D/A With SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on 2026-07-17 referencing Investment Company Act exemptions.
Willow Tree Fund III Files D/A Notice With SEC
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing to the SEC on July 17, 2026 claiming a Section 3(c)(7) exemption.
Willow Tree Evergreen Fund, LP Files D/A with SEC
Willow Tree Evergreen Fund, LP submitted a D/A filing on 2026-07-17 claiming Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV Files D/A Amendment With SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing on July 17, 2026, referencing Investment Company Act Section 3(c) exemptions.
Willow Tree Fund III (Unlevered) Files D/A on SEC EDGAR
Willow Tree Fund III (Unlevered), LP submitted a D/A filing on July 17, 2026 claiming a Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV-A Files D/A Amendment with SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on July 17, 2026, referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
Willow Tree Fund III Files D/A Amendment on SEC EDGAR
Willow Tree Fund III (Unlevered), LP submitted a D/A filing referencing Investment Company Act Section 3(c)(7) on July 17, 2026.
Willow Tree Fund III Files D/A Amendment With SEC
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a Form D amendment on July 17, 2026, claiming Section 3(c)(7) exemption.
Willow Tree Evergreen Fund, LP Files D/A on July 17, 2026
Willow Tree Evergreen Fund, LP submitted a D/A filing to the SEC on July 17, 2026, referencing Section 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV Files D/A Notice with SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing to the SEC on July 17, 2026 claiming exemptions under Investment Company Act Sections 3(c)(1) and 3(c)(7).
Polis Strategies Fund LLC - Series 4 Files With SEC
Polis Strategies Fund LLC - Series 4 submitted a filing to the SEC on July 17, 2026, according to SEC EDGAR records.
Willow Tree Fund III (Unlevered) (Offshore) Files D/A With SEC
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing on 2026-07-17 claiming Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV Files D/A With SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing to the SEC on 2026-07-17 claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV-A, LP Files D/A on SEC EDGAR
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on July 17, 2026, referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
Willow Tree Fund III Files SEC Exemption Notice
Willow Tree Fund III (Unlevered), LP submits D/A filing claiming Section 3(c)(7) exemption under the Investment Company Act.
Willow Tree Fund III (Unlevered) (Offshore) Submits D/A Filing
Willow Tree Fund III (Unlevered) (Offshore), LP filed a D/A with the SEC on July 17, 2026, under Section 3(c)(7) of the Investment Company Act.
Willow Tree Fund III Files 3(c)(7) Notice with SEC
Willow Tree Fund III (Unlevered), LP submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 17, 2026.
Stonepeak Asia Infrastructure Fund II Files D/A Amendment
Stonepeak Asia Infrastructure Fund II (Lux) SCSp submitted a D/A filing to the SEC on July 17 2026 claiming Section 3(c)(7) exemption.
Polis Strategies Fund LLC Series 4 Files With SEC
Polis Strategies Fund LLC Series 4 submitted a regulatory filing to the SEC on July 17 2026 under CIK 0002142668.
Stonepeak Asia Infrastructure Fund II LP Files D/A With SEC
Stonepeak Asia Infrastructure Fund II LP submitted a D/A filing to the SEC on July 17 2026 under Section 3(c)(7) of the Investment Company Act.
Pax Ventures Opportunities VI LLC Files SEC Notice
Pax Ventures Opportunities VI LLC submitted a Section 3(c)(7) filing to the SEC on July 17 2026.
AE Industrial Partners Fund IV-A Files D/A Amendment
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on 2026-07-17 referencing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Renaissance Kaleidoscope Fund LLC Files D/A Amendment with SEC
Renaissance Kaleidoscope Fund LLC submitted a D/A filing on July 17, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Prana Global Ventures Files 3(c)(1) Notice
Prana Global Ventures, LP submitted a Section 3(c)(1) filing to the SEC on July 17, 2026.
Aggie Venture Accelerator I, LP Files 3(c)(1) Notice
D - Aggie Venture Accelerator I, LP filed a notice of reliance on Investment Company Act Section 3(c)(1) with the SEC on July 17, 2026.
Sherwood Coffee Investment LLC Files 3(c)(1) Amendment
Sherwood Coffee Investment LLC submitted a D/A filing on 2026-07-17 claiming exemption under Section 3(c)(1) of the Investment Company Act.
Stonepeak Asia Infrastructure Feeder Fund II LP Files D/A on 2026-07-17
Stonepeak Asia Infrastructure Feeder Fund II LP submitted a D/A filing under Investment Company Act Section 3(c)(7) to the SEC on 2026-07-17.
AE Industrial Partners Fund IV Files D/A With SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing on 2026-07-17 claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Sherwood Coffee Investment LLC Files 3(c)(1) Exemption With SEC
Sherwood Coffee Investment LLC submitted a Section 3(c)(1) exemption filing under the Investment Company Act on July 17, 2026.
Arkenstone Capital SPV VII Files 3(c)(1) Notice on SEC EDGAR
D - Arkenstone Capital SPV VII a Series of CGF2021 LLC submitted a Section 3(c)(1) exemption filing to the SEC on July 17, 2026.
NCS International Fund LLC Files D/A on 2026-07-17
NCS International Fund LLC submitted a D/A filing referencing Investment Company Act Section 3(c)(7) on July 17, 2026.
Ogun Fund II, L.P. Files SEC Document Under 3(c)(7)
Ogun Fund II, L.P. submitted a filing to the SEC on July 17, 2026, referencing Investment Company Act Section 3(c)(7).
Moonfare Series Fund I LLC Files D/A for Series D
Moonfare Series Fund I LLC submitted a D/A filing for Series D on July 17, 2026 under Section 3(c)(7) of the Investment Company Act.
NCS Group Trust International Fund Files D/A on SEC EDGAR
NCS Group Trust International Fund submitted a D/A filing under Investment Company Act Section 3(c)(7) on July 17, 2026.
Readout Capital Onshore Fund, LP Files SEC Notice Claiming 3(c)(7) Exemption
Readout Capital Onshore Fund, LP submitted a D/A filing to the SEC on 2026-07-17 referencing Section 3(c)(7) of the Investment Company Act.
Fortress Intellectual Property Opportunities Fund III (A) LP Files SEC Notice
Fortress Intellectual Property Opportunities Fund III (A) LP submitted a regulatory filing to the SEC on July 17, 2026, under Section 3(c)(7).
Fortress Intellectual Property Opportunities Fund III (B) LP Files SEC Notice
Fortress Intellectual Property Opportunities Fund III (B) LP submitted a Section 3(c)(7) notice to the SEC on July 17, 2026.
D - FF ACC8 Fund Files 3(c)(1) Exemption Notice
D - FF ACC8 Fund a Series of FF SPV Holdings LLC submitted a Section 3(c)(1) filing to the SEC on July 17, 2026.
D - Shift Capital Apr 2026 Series Files 3(c)(1) Notice
D - Shift Capital Apr 2026 a Series of CGF2021 LLC submitted a Section 3(c)(1) notice to the SEC on July 17, 2026.
HSAM Residential Property Partners Files D/A on July 16 2026
HSAM Residential Property Partners, L.P. submitted a Form D/A amendment claiming Sections 3(c)(1) and 3(c)(7) exemptions under the Investment Company Act.
Castle Rock Energy Fund II, LP Files SEC Document
Castle Rock Energy Fund II, LP submitted a filing to the SEC on July 16, 2026, according to EDGAR records.
Andalusian Partners Files D/A for Fund II Onshore Committed Series
Andalusian Partners Fund II, L.P. submitted a D/A filing on July 16, 2026, for APF II Onshore Committed Series under Section 3(c)(7).
