Regulatory Compliance
335 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
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.
REFASHIOND Ventures Seed Fund LP Files Under Investment Company Act
REFASHIOND Ventures Seed Fund LP filed a document on April 2, 2026, related to Section 3(c)(1) of the Investment Company Act, as reported in SEC EDGAR filings.
Sypher Bitcoin Yield Fund Files SEC Document Under Section 3(c)(1)
Sypher Bitcoin Yield Fund, LP filed a document with SEC EDGAR on April 2, 2026, specifying reliance on Section 3(c)(1) of the Investment Company Act.
Sypher Bitcoin Yield Fund Files Under Investment Company Act Section 3(c)(1)
Sypher Bitcoin Yield Fund, LP filed a SEC document on April 2, 2026, citing Section 3(c)(1) of the Investment Company Act.
EquityZen Growth Technology Fund Files SEC Exemption Under Section 3(c)(1)
EquityZen Growth Technology Fund LLC - Series 2262 filed a document on April 2, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
StepStone Boulder II Equity S, L.P. Files Under Section 3(c)(7)
StepStone Boulder II Equity S, L.P. filed a document under Item 3C.7 of the Investment Company Act on April 2, 2026, according to SEC EDGAR.
Olive Partners Access Fund II Files for Section 3(c)(7) Exemption
Olive Partners Access Fund II, LP filed a SEC document on April 2, 2026, related to Investment Company Act Section 3(c)(7).
StepStone Boulder II Equity, L.P. Files Under Investment Company Act Section 3(c)(7)
StepStone Boulder II Equity, L.P. submitted a SEC EDGAR filing on April 2, 2026, related to Item 3C.7 of the Investment Company Act.
VC Firm Fined $216 Million for Business with Sanctioned Russian Oligarch
A venture capital firm faces a $216 million fine from the US government for alleged dealings with a sanctioned Russian oligarch, as detailed in a Venture Capital Journal article.
Mill Hill Structured Credit Opportunities Fund LP Files Under Investment Company Act
Mill Hill Structured Credit Opportunities Fund LP filed a document with the SEC on April 2, 2026, relating to Investment Company Act Section 3(c)(7).
BCA Select, LLC Series 3 Files Under Section 3(c)(7)
BCA Select, LLC - Series 3 - Junto Capital Partners filed a SEC document on April 2, 2026, related to Investment Company Act Section 3(c)(7).
Ares Pathfinder Fund III Files for Section 3(c)(7) Exemption
Ares Pathfinder Fund III (Offshore) LP submitted a SEC filing on April 1, 2026, under Investment Company Act Section 3(c)(7).
TCW Transform Systems Private Fund Files SEC Document on Section 3(c)(7)
TCW Transform Systems Private Fund, L.P. filed a SEC document on April 1, 2026, related to Item 3C.7 under the Investment Company Act.
Crow Holdings Realty Partners XI Files Form D with SEC
Crow Holdings Realty Partners XI, L.P. filed a Form D on April 1, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
D/A - Ventures II, LP Files SEC Document Under Section 3(c)(7)
D/A - Ventures II, LP, with CIK 0002017194, filed a document on April 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
Blackstone Energy Transition Partners V - B L.P. Files SEC Document on Investment Act
Blackstone Energy Transition Partners V - B L.P. submitted a filing to the SEC on April 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
D - Pulse Co-Investment LP Files Under Investment Company Act Section 3(c)(7)
D - Pulse Co-Investment LP filed a document with SEC EDGAR on April 1, 2026, referencing Item 3C.7 of the Investment Company Act.
TinySeed Fund 3B, LP Files Under Investment Company Act Section 3(c)(7)
TinySeed Fund 3B, LP submitted a SEC filing on April 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
Asta Capital Partners II LP Files Under Investment Company Act Section 3(c)(1)
Asta Capital Partners II LP submitted a SEC filing on April 1, 2026, related to Section 3(c)(1) of the Investment Company Act.
Royal Lane Holdings, LLC Files SEC Document on April 1, 2026
Royal Lane Holdings, LLC submitted a filing to the SEC on April 1, 2026, with a size of 5 KB, as recorded in EDGAR.
Aubrey GEMs Partners LP Files Form D/A for Section 3(c)(1) Exemption
Aubrey GEMs Partners LP submitted a Form D/A filing on April 1, 2026, citing Section 3(c)(1) of the Investment Company Act.
Infinitas Capital Master LLC Files for SPV XXX Series
Infinitas Capital Master LLC submitted a SEC filing for D - nfinitas Capital SPV XXX on April 1, 2026, according to official records.
Ithaka Infra Fund III Files for SEC Exemptions Under Investment Company Act
Ithaka Infra Fund III, F.C.R., filed a notice with the SEC on April 1, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
L Squared Capital Partners V-B LP Files SEC Form for Investment Exemptions
L Squared Capital Partners V-B LP filed a SEC form on March 31, 2026, claiming exemptions under the Investment Company Act Sections 3(c)(1) and 3(c)(7).
Centerbridge Keystone Fund L.P. Files SEC Form Under Section 3(c)(7)
Centerbridge Keystone Fund L.P. filed a document with the SEC on March 31, 2026, under Item 3C.7 of the Investment Company Act.
Apollo Aligned Alternatives ST Fund Files SEC Notice Under Section 3(c)(7)
D/A - Apollo Aligned Alternatives ST Fund (USD), L.P. filed a notice with the SEC on March 31, 2026, under Item 3C.7 of the Investment Company Act.
Apollo Aligned Alternatives ST Fund Files Under Section 3(c)(7)
D/A - Apollo Aligned Alternatives ST Fund (USD), L.P. filed a document with the SEC on March 31, 2026, related to Investment Company Act exemptions.
Blackstone Waypoint Fund LP Files SEC Document on Section 3(c)(7)
Blackstone Waypoint Fund LP submitted a SEC filing on March 31, 2026, detailing Item 3C and Item 3C.7 under the Investment Company Act.
CLEARMATRIX SPV Files SEC Document on March 31, 2026
CLEARMATRIX SPV A Series of AM SPV Fund Management LLC submitted a filing to the SEC, as documented in the EDGAR database.
Legend Capital Ventures II, LLC Files SEC Document Under Section 3(c)(7)
Legend Capital Ventures II, LLC filed a document with SEC EDGAR on March 31, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
Peachtree Credit Fund IV, LP Files D/A with SEC
Peachtree Credit Fund IV, LP submitted a D/A filing to the SEC on March 31, 2026, as part of regulatory requirements for investment funds.
Peachtree Credit Fund IV, LP Files Form D/A with SEC
Peachtree Credit Fund IV, LP submitted a Form D/A filing to the SEC on March 31, 2026, as recorded in the EDGAR database.
Brentwood Associates Private Equity VII Files for Investment Company Act Exemptions
Brentwood Associates Private Equity VII, L.P. submitted a SEC filing on March 31, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Brentwood Associates Private Equity VII, L.P. Files SEC Document on Investment Company Act
Brentwood Associates Private Equity VII, L.P. filed a SEC document on March 31, 2026, citing exemptions under Investment Company Act Section 3(c).
StartEngine Private Funds LLC Files for D - Series 11-1
StartEngine Private Funds LLC submitted a regulatory filing for D - Series 11-1 on March 31, 2026, as reported by SEC EDGAR.
Blue Atlantic Partners IV ESAS U.S. Feeder, LP Files SEC Document
Blue Atlantic Partners IV ESAS U.S. Feeder, LP submitted a filing to the SEC on March 31, 2026, referencing Section 3(c)(1).
