Regulatory Compliance
370 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
FalconX Holdings Ltd Submits SEC Filing on May 6, 2026
FalconX Holdings Ltd filed a document with the SEC on May 6, 2026, as recorded in SEC EDGAR archives.
Strategic Investors Fund XII-A Files SEC Exemption Under Section 3(c)(7)
D - Strategic Investors Fund XII-A, L.P. filed a notice with the SEC on May 1, 2026, for an exemption under Section 3(c)(7) of the Investment Company Act.
Stonepeak Infrastructure Fund - M (Side Car) LP Files SEC Exemption
Stonepeak Infrastructure Fund - M (Side Car) LP submitted a filing claiming an exemption under Section 3(c)(7) of the Investment Company Act on April 30, 2026.
Arrowstreet Fund Files for Investment Company Act Exemptions
Arrowstreet (Delaware) Custom Alpha Extension Fund Q L.P. filed a SEC document on April 30, 2026, citing exemptions under sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Renown Capital Partners I, L.P. Files for Investment Company Act Exemptions
Renown Capital Partners I, L.P. filed a SEC document on April 30, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) 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.
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).
FLI Partners Fund, L.P. Files Under Investment Company Act Section 3(c)(1)
FLI Partners Fund, L.P. submitted a filing under Section 3(c)(1) of the Investment Company Act on April 27, 2026, as reported by SEC EDGAR.
Advent's Caldic Faces Brazil Probe Over Organized Crime Links
Caldic, majority-owned by Advent International, is under investigation in Brazil for alleged involvement in a methanol diversion scheme tied to organized crime.
FundRacer Mobility Fund I Files SEC Exemption Under Investment Company Act
FundRacer Mobility Fund I Cooperatief U.A. filed a document with the SEC on April 23, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Cannon Global A2 Fund Files Under Section 3(c)(7)
Cannon Global A2 Fund, LP filed a document with the SEC on April 22, 2026, related to Investment Company Act exemptions.
Littlejohn Altitude Feeder Fund Files Under Section 3(c)(7)
D - Littlejohn Altitude Feeder Fund (A), L.P. filed a document on April 22, 2026, related to Section 3(c)(7) of the Investment Company Act.
Cactus Honey Partners LLC Files with SEC on April 22, 2026
Cactus Honey Partners LLC, with CIK 0002131360, submitted a filing to the SEC EDGAR system on April 22, 2026, according to official records.
Crescat Institutional Precious Metals Fund Files Under Section 3(c)(7)
Crescat Institutional Precious Metals Fund LTD filed a document on April 22, 2026, under the Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Piedmont Partners Files SEC Document on Investment Company Act Section 3(c)(1)
Piedmont Partners, Limited Partnership submitted an SEC filing on April 22, 2026, related to Section 3(c)(1) of the Investment Company Act.
D - Cross Market Fund LLC Files SEC Form for Investment Exemptions
D - Cross Market Fund LLC filed a SEC document on April 22, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Providence Venture Capital Files Under Investment Company Act Section 3(c)(1)
Providence Venture Capital, LLC filed a document with the SEC on April 22, 2026, related to Section 3(c)(1) of the Investment Company Act.
S2K/Miller Fund LP Files SEC Document on Investment Company Act Section 3(c)(5)
S2K/Miller Fund LP, with CIK 1973118, filed a regulatory document on April 22, 2026, referencing Section 3(c)(5) of the Investment Company Act, according to SEC EDGAR.
S&K Private Funding, LLC Files Under Investment Company Act Section 3(c)(5)
S&K Private Funding, LLC submitted a filing on April 21, 2026, related to Section 3(c)(5) of the Investment Company Act.
Boardman Bay Ventures, LP Files for Section 3(c)(7) Exemption
Boardman Bay Ventures, LP - Series R submitted a SEC filing on April 21, 2026, related to Investment Company Act Section 3(c)(7).
U.S. Strategic Industrial Fund III Investors LP Files SEC Document
U.S. Strategic Industrial Fund III Investors LP filed a SEC document on April 21, 2026, referencing sections of the Investment Company Act.
Vataseason Ventures Fund LLC Files Under Section 3(c)(1)
D - Vataseason Ventures Fund LLC filed a document with the SEC on April 21, 2026, related to Section 3(c)(1) of the Investment Company Act.
US Regulators Propose Easing Private Fund Reporting Rules
The SEC and CFTC plan to narrow Biden-era disclosure requirements for the $26 trillion private funds industry to reduce compliance burdens while maintaining risk oversight.
Bobo CV DC Land Fund I, LLC Files with SEC on April 20, 2026
Bobo CV DC Land Fund I, LLC, with filer number 0002130723, submitted a SEC filing on April 20, 2026, as per official records.
Sterling Core Income Fund I, LLC Files SEC Document
Sterling Core Income Fund I, LLC filed a document with the SEC on April 20, 2026, as per the agency's records.
Lightyear Fund VI, L.P. Files Under Investment Company Act Section 3(c)(7)
Lightyear Fund VI, L.P. submitted a filing on April 20, 2026, citing Section 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
WGV Real Estate Fund I LLC Files SEC Document for Investment Exemption
WGV Real Estate Fund I LLC filed a SEC EDGAR document on April 20, 2026, referencing Section 3(c)(5) of the Investment Company Act.
NNG Fix & Flip Fund I, LLC Files SEC Document
D - NNG Fix & Flip Fund I, LLC submitted a filing to the SEC on April 20, 2026, as part of regulatory requirements for emerging fund managers.
VB Spine Holdings LLC Files SEC Document on April 17, 2026
VB Spine Holdings LLC submitted a filing to the SEC on April 17, 2026, as recorded in the EDGAR database.
PAM 1740 Fund Files SEC Document for Investment Company Act Section 3(c)(7)
D/A - PAM 1740 Fund submitted a SEC filing on April 17, 2026, under Accession Number 000090266426002052, relating to Section 3(c)(7) of the Investment Company Act.
D - Fresh Investment Club Files for Section 3(c)(1) Exemption
D - Fresh Investment Club - Agragene IB a Series of CGF2021 LLC filed a form with the SEC on April 17, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Lionheart Ventures II-A, L.P. Files for Section 3(c)(1) Exemption
D/A - LIONHEART VENTURES II-A, L.P. filed a document with the SEC on April 17, 2026, related to Investment Company Act exemptions.
Madison Square Value Enhancement Fund II LP Files SEC Exemptions
Madison Square Value Enhancement Fund II LP filed for exemptions under Sections 3(c)(5), 3(c)(6), and 3(c)(7) of the Investment Company Act on April 16, 2026.
Sandglass Select US Feeder Fund III Files SEC Document
D - Sandglass Select US Feeder Fund III, L.P. filed a SEC EDGAR document on April 16, 2026, under Investment Company Act Section 3(c)(7).
AQR Apex Alphaport Fund II Files SEC Document on Section 3(c)(7)
AQR Apex Alphaport Fund II, L.P. filed a document with the SEC on April 16, 2026, related to Section 3(c)(7) of the Investment Company Act.
WCM Focused Global Growth Fund L.P. Files Under Section 3(c)(7)
WCM Focused Global Growth Fund L.P. submitted a filing to the SEC on April 16, 2026, related to Investment Company Act exemptions.
Kemmons Wilson Hospitality Partners Opportunistic III, LP Files SEC Exemptions
Kemmons Wilson Hospitality Partners Opportunistic III, LP submitted a filing on April 16, 2026, claiming exemptions under Section 3(c) of the Investment Company Act.
YCC International Value Fund Files Under SEC Investment Company Act
YCC International Value Fund, LP filed a document with the SEC on April 16, 2026, related to Section 3(c)(1) of the Investment Company Act.
D/A - LL Private Lending Fund II Files for Section 3(c)(7) Exemption
D/A - LL Private Lending Fund II, L.P. submitted a SEC filing on April 16, 2026, related to an exemption under Section 3(c)(7) of the Investment Company Act.
Parvus European Opportunities Fund Files SEC Document Under Investment Company Act
On April 16, 2026, Parvus European Opportunities Fund filed a SEC document referencing Investment Company Act Section 3(c)(7).
Whitebark Core Offshore Fund LP Files Under Section 3(c)(7)
Whitebark Core Offshore Fund LP submitted a SEC filing on April 16, 2026, related to Investment Company Act exemptions.
Spektr Secures $20M Series A for AI Compliance Platform
Copenhagen-based Spektr raised $20 million in a Series A led by NEA to advance its AI-driven financial compliance tools.
D - KING CAPITAL GROUP INVESTMENT FUND LLC Submits SEC Filing
D - KING CAPITAL GROUP INVESTMENT FUND LLC filed a document with the SEC on April 15, 2026, according to official records.
Felix Capital Next III LP Files SEC Document for Section 3(c)(7)
Felix Capital Next III LP submitted a SEC filing on April 15, 2026, including Item 3C.7 related to Section 3(c)(7) of the Investment Company Act.
King Capital Group Investment Fund LLC Files with SEC
D - KING CAPITAL GROUP INVESTMENT FUND LLC submitted a filing to the SEC on April 15, 2026, as per official records.
Metro Diner Holdings LLC Files SEC Document on April 15, 2026
Metro Diner Holdings LLC, with CIK 0002127870, submitted a filing to the SEC on April 15, 2026, as recorded in the EDGAR database.
Blixt Fund II LP Files SEC Document Under Investment Company Act Section 3(c)(7)
Blixt Fund II LP submitted a SEC filing on April 15, 2026, related to Item 3C.7 of the Investment Company Act.
MC Alternative Solutions Master Fund LP Files SEC Document Under Section 3(c)(7)
On April 15, 2026, MC Alternative Solutions Master Fund LP filed a SEC document related to Section 3(c)(7) of the Investment Company Act, as per EDGAR records.
Rhino Small Cap Financial Offshore Fund Files SEC Form for Section 3(c)(1)
Rhino Small Cap Financial Offshore Fund, Ltd filed a SEC EDGAR form on April 15, 2026, relating to Investment Company Act Section 3(c)(1).
Leo Multi-Manager Core Hedge Fund Files Under Section 3(c)(1)
Leo Multi-Manager Core Hedge Fund, LP filed a document with the SEC on April 15, 2026, citing Section 3(c)(1) of the Investment Company Act.
