Regulatory Compliance
370 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
ALM First Capital Fund I, LLC Files Under Investment Company Act Section 3(c)(1)
ALM First Capital Fund I, LLC submitted a SEC filing on April 8, 2026, invoking Section 3(c)(1) of the Investment Company Act.
D - Clique Ventures Inc. Files with SEC on April 8, 2026
D - Clique Ventures Inc. submitted a filing to the SEC on April 8, 2026, according to EDGAR records.
FVP Health Innovation Fund Files Under Investment Company Act Section 3(c)(1)
D - FVP Health Innovation Fund, L.P. submitted a filing to the SEC on April 8, 2026, under Item 3C for Section 3(c)(1).
Veridis Legal Opportunity Fund Files for Investment Company Act Exemptions
Veridis Legal Opportunity Fund, LP filed a document with SEC EDGAR on April 8, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Veridis Legal Opportunity Fund LP Files for Investment Company Act Exemptions
Veridis Legal Opportunity Fund LP submitted a SEC filing on April 8, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
American Beacon Institutional Funds Trust Files SEC Document
American Beacon Institutional Funds Trust submitted a filing to the SEC on April 7, 2026, as part of regulatory requirements.
Tourlite Fund, LP Files Under Investment Company Act Section 3(c)(1)
D/A - Tourlite Fund, LP submitted a SEC filing on April 7, 2026, related to Section 3(c)(1) of the Investment Company Act.
Northstar VC Series 36 Files Under Investment Company Act Section 3(c)(1)
Northstar VC Series 36, a series of Northstar Venture Capital LLC, filed a document on April 7, 2026, related to Section 3(c)(1) of the Investment Company Act.
WCM Partners Endurance, LP Files SEC Document on Investment Company Act
WCM Partners Endurance, LP submitted a filing to the SEC on April 7, 2026, related to Section 3(c)(7) of the Investment Company Act.
Onex Direct Lending Cayman Fund LLC Files SEC Document for Section 3(c)(7)
Onex Direct Lending Cayman Fund LLC filed a SEC document on April 7, 2026, under Item 3C.7 related to Section 3(c)(7) of the Investment Company Act.
Tricor Strategic Wealth Fund I, LLC Files SEC Document
Tricor Strategic Wealth Fund I, LLC submitted a filing to the SEC on April 7, 2026, as per EDGAR records.
2E Select Credit Offshore Fund Files Under Section 3(c)(7)
2E Select Credit Offshore Fund, Ltd. submitted a SEC filing on April 7, 2026, citing Section 3(c)(7) of the Investment Company Act.
D - JBF Parallel Fund LP Files SEC Document
D - JBF Parallel Fund LP submitted a filing to the SEC on April 7, 2026, as part of regulatory requirements for fund managers.
FVP National Security Fund II Files SEC Document for Section 3(c)(1) Exemption
FVP National Security Fund II, L.P. filed a document with the SEC on April 7, 2026, under Item 3C for Section 3(c)(1) of the Investment Company Act.
Legacy Stone Capital LLC Files SEC Document for Section 3(c)(5)
Legacy Stone Capital LLC filed a 6 KB document with the SEC on April 7, 2026, related to Item 3C.5 of the Investment Company Act.
CBC Investment Group LLC Files SEC Document on April 6, 2026
CBC Investment Group LLC submitted a filing to the SEC on April 6, 2026, with accession number 0001867468-26-000003.
CBC Investment Group LLC Files with SEC EDGAR
CBC Investment Group LLC submitted a filing to SEC EDGAR on April 6, 2026, as part of regulatory requirements.
Forge Select Fund I-A, LP Files Under Section 3(c)(7)
D - Forge Select Fund I-A, LP submitted a filing to the SEC on April 6, 2026, related to Section 3(c)(7) of the Investment Company Act.
Forge Select Fund I, LP Files for Section 3(c)(7) Exemption
D - Forge Select Fund I, LP filed a document with the SEC on April 6, 2026, invoking Section 3(c)(7) of the Investment Company Act.
Forge Select Fund I, LP Files Under Investment Company Act Section 3(c)(7)
D - Forge Select Fund I, LP submitted a SEC filing on April 6, 2026, referencing Section 3(c)(7) of the Investment Company Act.
SAC VC Capital SPV LLC - Series 9 Submits SEC Filing
SAC VC Capital SPV LLC - Series 9 filed a document with the SEC on April 6, 2026, according to official records.
ZP Utility Insurance Fund LP Files Under Investment Company Act Section 3(c)(7)
ZP Utility Insurance Fund LP filed a document with the SEC on April 6, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Audeo Ventures Fund II LP Files SEC Form for Exemption
Audeo Ventures Fund II LP filed a SEC EDGAR document on April 6, 2026, related to Section 3(c)(1) of the Investment Company Act.
Superstate Native Yield Fund Files Under Section 3(c)(7)
Superstate Native Yield Fund submitted a SEC filing on April 6, 2026, under Section 3(c)(7) of the Investment Company Act.
True Green Capital Fund V-A Files SEC Document for Section 3(c)(7)
True Green Capital Fund V-A, L.P. submitted a SEC filing on April 6, 2026, related to Section 3(c)(7) of the Investment Company Act.
Montage Social Impact Fund Files Under Investment Company Act Section 3(c)(1)
Montage Social Impact Fund, L.P. filed a document on April 6, 2026, related to Section 3(c)(1) exemption, as reported by SEC EDGAR.
True Green Capital Fund V-B L.P. Files Under Section 3(c)(7)
True Green Capital Fund V-B, L.P. filed a document with the SEC on April 6, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
Balaji Rolling Fund QP, LP - D2 Files SEC Form D
Balaji Rolling Fund QP, LP - D2 submitted a Form D filing on April 6, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Balaji Rolling Fund QP, LP Files Form D with SEC
Balaji Rolling Fund QP, LP - D2 submitted a Form D filing to the SEC on April 6, 2026, citing exemptions under the Investment Company Act.
Centuria Strategic Fund LLC JSF Series Files Under Section 3(c)(1)
Centuria Strategic Fund LLC JSF Series filed a notice under the Investment Company Act Section 3(c)(1) on April 6, 2026, as per SEC EDGAR records.
Plaintext Fund LP Files SEC Document for Section 3(c)(1) Exemption
D/A - Plaintext Fund LP submitted a filing to the SEC on April 6, 2026, related to Section 3(c)(1) of the Investment Company Act.
Plaintext Fund LP Files SEC Document Under Section 3(c)(1)
D/A - Plaintext Fund LP submitted a filing to the SEC on April 6, 2026, related to Item 3C and Section 3(c)(1) of the Investment Company Act.
House of Stone Capital Fund One LLC Files SEC Document Under Section 3(c)(1)
House of Stone Capital Fund One LLC filed a SEC document on April 3, 2026, related to Section 3(c)(1) of the Investment Company Act.
Oasis Investments II Offshore Feeder Ltd. Files SEC Document on Investment Company Act
Oasis Investments II Offshore Feeder Ltd. submitted a SEC filing on April 3, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Oasis Japan Strategic Fund Files SEC Document Under Investment Company Act
Oasis Japan Strategic Fund Offshore Feeder Ltd. filed a document on April 3, 2026, related to Section 3(c) and 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
Oasis Japan Strategic Fund Files Under Section 3(c)(7)
Oasis Japan Strategic Fund Offshore Feeder Ltd. filed a document with the SEC on April 3, 2026, related to Section 3(c)(7) of the Investment Company Act.
Oasis Japan Strategic Fund US Feeder Ltd. Files SEC Document on Section 3(c)(7)
Oasis Japan Strategic Fund US Feeder Ltd. filed a SEC document on April 3, 2026, related to Investment Company Act Section 3(c)(7), as per EDGAR records.
Legacy Opportunity Fund LLC Files Under Investment Company Act Section 3(c)(5)
D/A - Legacy Opportunity Fund LLC filed a document with the SEC on April 3, 2026, referencing Section 3(c)(5) of the Investment Company Act.
Michigan Aggregated Investments No. 1, L.P. Files Under Investment Company Act Section 3(c)(7)
D - Michigan Aggregated Investments No. 1, L.P. submitted a SEC filing on April 3, 2026, citing Section 3(c)(7) of the Investment Company Act.
KPE 2026 Allocate Access Fund Files SEC Document Under Section 3(c)(7)
D - KPE 2026 Allocate Access Fund, L.P. filed a document with SEC EDGAR on April 3, 2026, under Item 3C.7 of the Investment Company Act.
Legacy Opportunity Fund LLC Files SEC Document on Investment Company Act
D/A - Legacy Opportunity Fund LLC submitted a filing to the SEC on April 3, 2026, referencing Section 3(c)(5) of the Investment Company Act.
Michigan Aggregated Investments Files SEC Document for Section 3(c)(7)
D - Michigan Aggregated Investments No. 1, L.P. filed a SEC document on April 3, 2026, related to Investment Company Act Section 3(c), according to EDGAR records.
Sagefield Relative Value Fund LP Files Under Section 3(c)(7)
Sagefield Relative Value Fund LP submitted a filing related to Section 3(c)(7) of the Investment Company Act on April 3, 2026, as per SEC EDGAR records.
East Rock Charitable Fund L.P. Files SEC Document for Section 3(c)(7)
East Rock Charitable Fund L.P. filed a document with the SEC on April 3, 2026, referencing Item 3C.7 of the Investment Company Act.
Vista Co-Invest Fund 2026-1 Files SEC Form Under Investment Company Act
D - Vista Co-Invest Fund 2026-1, L.P. filed a SEC form on April 2, 2026, related to Section 3(c)(7) of the Investment Company Act.
Decibel Partners III Affiliates Files SEC Form D/A Amendment
Decibel Partners III Affiliates, LP filed a Form D/A on April 2, 2026, related to Section 3(c)(7) of the Investment Company Act, as per SEC EDGAR records.
Decibel Partners III, LP Files SEC Document for Investment Company Act
Decibel Partners III, LP filed a document with the SEC on April 2, 2026, related to Section 3(c)(7) of the Investment Company Act.
ISQ Hawkeye Holdings, L.P. Files Form D/A with SEC
ISQ Hawkeye Holdings, L.P. submitted a Form D/A filing to the SEC on April 2, 2026, according to the EDGAR database.
MF Ventures Fund, LP - A2 Files SEC Form for Section 3(c)(1) Exemption
MF Ventures Fund, LP - A2 filed a SEC document on April 2, 2026, related to Investment Company Act Section 3(c)(1).
MF Ventures Fund, LP - A2 Files Under SEC Section 3(c)(1)
MF Ventures Fund, LP - A2 submitted a filing to the SEC on April 2, 2026, under Section 3(c)(1) of the Investment Company Act.
