Regulatory compliance
50 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
HASTA Strategic Multifamily Fund 2023, LP Files SEC Document
HASTA Strategic Multifamily Fund 2023, LP submitted a filing to the SEC on May 14, 2026, as part of routine regulatory requirements for investment funds.
Kabouter Fund II Files for Section 3(c)(7) Exemption
Kabouter International Opportunities Fund II, LLC filed a document with the SEC on May 13, 2026, citing Section 3(c)(7) of the Investment Company Act.
Long Angle Investments LLC Files for RC Fund IV Exemption
Long Angle Investments LLC filed a document for RC Fund IV on May 12, 2026, under Section 3(c)(1) of the Investment Company Act.
Peritas Investments 1, LP Files SEC Document for Section 3(c)(7)
Peritas Investments 1, LP filed a document with the SEC on May 11, 2026, referencing Item 3C and Section 3(c)(7) of the Investment Company Act.
Silver Screen Master Fund Files Under Investment Company Act Section 3(c)(1)
Silver Screen Master Fund, LLC filed a SEC document on May 11, 2026, related to Investment Company Act exemptions.
Forge Investments, LLC Files for Fund FG-OMM Under Section 3(c)(1)
Forge Investments, LLC filed a notice for its Fund FG-OMM series on May 8, 2026, under Section 3(c)(1) of the Investment Company Act.
D - FA Innovation Fund LP Files Under Section 3(c)(7)
D - FA Innovation Fund LP submitted a SEC filing on May 8, 2026, citing reliance on Section 3(c)(7) of the Investment Company Act.
Shah Capital Opportunity Fund LP Files SEC Document on Exemptions
Shah Capital Opportunity Fund LP submitted a filing to the SEC on May 8, 2026, detailing exemptions under the Investment Company Act Sections 3(c)(1) and 3(c)(7).
TPG AG Corporate Credit Opportunities Fund Files SEC Form Under Section 3(c)(7)
D/A - TPG AG Corporate Credit Opportunities Fund, L.P. submitted a filing on May 8, 2026, under Item 3C.7 of the Investment Company Act, as recorded in SEC EDGAR.
D - FA Innovation Fund LP Files Under SEC Investment Company Act Section 3(c)(7)
D - FA Innovation Fund LP submitted a filing to the SEC on May 8, 2026, referencing Section 3(c)(7) of the Investment Company Act.
JS Opportunity Fund LLC Series Q30 Files Under Section 3(c)(1)
JS Opportunity Fund LLC Series Q30 submitted a filing under Section 3(c)(1) of the Investment Company Act on May 8, 2026, according to SEC EDGAR.
Shah Capital Opportunity Fund LP Files SEC Exemption Notice
Shah Capital Opportunity Fund LP filed a SEC form on May 8, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Pier Music Royalties Fund LP Files Under Section 3(c)(1)
Pier Music Royalties Fund LP submitted a SEC filing on May 8, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Edelweiss India Multimanager Equity Fund Series I Files Under Section 3(c)(1)
Edelweiss India Multimanager Equity Fund Series I submitted a SEC filing on May 8, 2026, under Investment Company Act Section 3(c)(1).
FAMF Prometheus Fund I Files for Section 3(c)(1) Exemption
FAMF Prometheus Fund I, a series of CGF2021 LLC, filed a SEC document on May 8, 2026, to claim an exemption under Section 3(c)(1) of the Investment Company Act.
Avant Infrastructure Co-Investment Fund LP Files SEC Exemptions
D - Avant Infrastructure Co-Investment Fund LP filed for exemptions under the Investment Company Act on May 7, 2026, according to SEC EDGAR.
Skyview Equity Co-Invest I LP Files for Investment Company Act Exemptions
Skyview Equity Co-Invest I LP filed a document on May 7, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
EquityZen Growth Technology Fund Files Under Section 3(c)(1)
EquityZen Growth Technology Fund LLC - Series 2283 filed a SEC form on May 6, 2026, citing Section 3(c)(1) of the Investment Company Act.
TruArc Fund V, LP Files SEC Document Under Section 3(c)(7)
TruArc Fund V, LP submitted a filing to the SEC on May 6, 2026, related to Item 3C.7 of the Investment Company Act.
AI Innovation Fund V LLC Files SEC Document for Section 3(c)(7)
AI Innovation Fund V LLC submitted a filing to the SEC on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
CC&L Q Global Equity Market Neutral Fund Files SEC Document Under Section 3(c)(7)
On May 5, 2026, CC&L Q Global Equity Market Neutral Fund Ltd. filed a document with the SEC, citing Section 3(c)(7) of the Investment Company Act.
Cat Rock Capital Partners LP Files SEC Document Under Section 3(c)(7)
Cat Rock Capital Partners LP submitted a filing to the SEC on May 5, 2026, related to Investment Company Act exemptions.
GCW Investments LP Files SEC Document Under Investment Company Act
GCW Investments LP submitted a filing to SEC EDGAR on May 5, 2026, citing Section 3(c)(7) of the Investment Company Act.
Umami Capital, LP Files SEC Document for D - RE-0320 Fund I
Umami Capital, LP submitted a filing on May 5, 2026, for D - RE-0320 Fund I under Section 3(c)(1) of the Investment Company Act, as reported by SEC EDGAR.
WM Alternatives Hudson Bay Fund Files SEC Document on Section 3(c)(7)
WM Alternatives Hudson Bay Onshore Feeder Fund L.P. filed a SEC document on May 4, 2026, related to Investment Company Act Section 3(c)(7).
D - House Holdings 1.2, LP Files SEC Document Under Section 3(c)(1)
D - House Holdings 1.2, LP filed a document with the SEC on May 4, 2026, related to Section 3(c)(1) of the Investment Company Act.
Gordian Capital Strategies Files SEC Document on Investment Company Act Section 3(c)(7)
Gordian Capital Strategies, LP submitted a filing to the SEC on May 4, 2026, related to Section 3(c)(7) of the Investment Company Act.
D - LO-0321 Fund I Files for Section 3(c)(1) Exemption
D - LO-0321 Fund I, a series of Roll Up Vehicles, LP, filed a document with the SEC on May 4, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
D - Strategic Investors Fund XII-A, L.P. Files Under Section 3(c)(7)
D - Strategic Investors Fund XII-A, L.P. submitted a SEC filing on May 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
Strategic Investors Fund XII-A Files for Section 3(c)(7) Exemption
D - Strategic Investors Fund XII-A, L.P. filed a document with the SEC on May 1, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
Strategic Investors Fund XII-A Files SEC Document Under Section 3(c)(7)
D - Strategic Investors Fund XII-A, L.P. filed a SEC document on May 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
AB Municipal Credit Opportunities Fund Files SEC Form for Section 3(c)(7)
D - AB Municipal Credit Opportunities Fund, L.P. filed a SEC document on May 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
AB Municipal Credit Opportunities Fund Files SEC Form for Exemption
D - AB Municipal Credit Opportunities Fund, L.P. filed a SEC document on May 1, 2026, citing Investment Company Act Section 3(c)(7).
InterCapital Fund, LP Files Under Investment Company Act Section 3(c)(1)
InterCapital Fund, LP submitted a SEC filing on April 30, 2026, related to Section 3(c)(1) of the Investment Company Act.
Arrowstreet Fund Files SEC Document for Section 3(c)(7) Exemption
Arrowstreet Global Equity ACWI Trust Fund, a sub-fund of Arrowstreet Investment Trust, filed a SEC document on April 30, 2026, related to 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).
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.
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).
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 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.
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.
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).
Catalio Access Fund X, LLC Files for SEC Exemptions Under Investment Company Act
Catalio Access Fund X, LLC filed a document with the SEC on April 24, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Catalio Access Fund VIII Files SEC Exemption Notice
Catalio Access Fund VIII, LLC filed a SEC document on April 24, 2026, citing exemptions under the Investment Company Act.
Catalio Genesis Fund X, LLC Files for Investment Company Act Exemptions
Catalio Genesis Fund X, LLC submitted a SEC filing on April 24, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
NISA Global Equity Alpha Extension Offshore Fund Files SEC Document
D - NISA Global Equity Alpha Extension Offshore Fund Ltd filed a document under Section 3(c)(7) on April 24, 2026, according to SEC EDGAR.
LGIMA Fund Files for Section 3(c)(7) Exemption
LGIMA Long Duration US Government/Credit Fund, LLC filed a SEC document on April 24, 2026, under Investment Company Act Section 3(c)(7).
Bloomfield Capital Income Fund V Files SEC Exemptions
Bloomfield Capital Income Fund V, LLC - Series E filed for exemptions under the Investment Company Act on April 23, 2026, according to SEC EDGAR.
Forge Investments Files for Section 3(c)(1) Exemption for Fund FG-MMB
Forge Investments, LLC submitted a SEC filing for its Fund FG-MMB under Investment Company Act Section 3(c)(1) on April 23, 2026.
RCM Construction MBS Opportunities Fund Files Under Section 3(c)(7)
RCM Construction MBS Opportunities Fund, L.P. filed a document with the SEC on April 23, 2026, under Item 3C.7 of the Investment Company Act.
