Regulatory Compliance
370 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Evanston Alpha Strategies Fund Files Under Section 3(c)(7)
Evanston Alpha Strategies Fund L.P. submitted a SEC filing on March 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
Lodbrok European Credit Opportunities Fund LP Files SEC Form
Lodbrok European Credit Opportunities Fund LP filed a form under the Investment Company Act Section 3(c) on March 30, 2026, according to SEC EDGAR.
Pacific Lake Partners Fund Files SEC Document Under Section 3(c)(7)
Pacific Lake Partners Long-Term Home Fund Three, L.P. filed a SEC document on March 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
LM DNM SEED SPV 2026 Files for Investment Company Act Exemption
D - LM DNM SEED SPV 2026 A SERIES OF MASTER FUND I LLC filed a SEC document on March 30, 2026, claiming exemption under Section 3(c)(1).
Lodbrok European Credit Opportunities Fund Files Under Section 3(c)(7)
Lodbrok European Credit Opportunities Fund Ltd submitted a SEC filing on March 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
Snow Lion Note Fund 12 RES LLC Files SEC Document
D - Snow Lion Note Fund 12 RES LLC submitted a filing to the SEC on March 30, 2026, with an accession number of 0002125243-26-000001, according to EDGAR records.
Snow Lion Note Fund 12 RES LLC Files with SEC on March 30, 2026
D - Snow Lion Note Fund 12 RES LLC submitted a filing to the SEC, as recorded on March 30, 2026.
D - Collektion Investments IV LLC Submits SEC Filing
D - Collektion Investments IV LLC, with CIK 0002125748, filed a document on the SEC EDGAR system on March 30, 2026.
River Oak Capital Public Equities Fund Files Under Investment Company Act
River Oak Capital Public Equities Fund, LP filed a document with the SEC on March 30, 2026, related to Section 3(c)(1) of the Investment Company Act.
Riverside Ventures Self-Advised, LP Files SEC Notice for Section 3(c)(1) Exemption
D - KRA12 SPV, a series of Riverside Ventures Self-Advised, LP, filed a SEC document on March 30, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Oaktree Employee Investment Fund Files SEC Document Under Section 3(c)(7)
Oaktree Employee Investment Fund, L.P. filed a SEC document on March 27, 2026, related to Section 3(c)(7) of the Investment Company Act.
MSD Investment Corp. Files D/A Form with SEC
MSD Investment Corp. submitted a D/A filing to the SEC on March 27, 2026, according to official records.
Reformation Partners III, LP Files SEC Exemptions
Reformation Partners III, LP filed a document with the SEC on March 27, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Reformation Partners III, LP Files SEC Form for Investment Exemptions
Reformation Partners III, LP filed a SEC document on March 27, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
CEP AVAYA STEEPLECHASE TX HOLDINGS LLC Files SEC Document
D - CEP AVAYA STEEPLECHASE TX HOLDINGS LLC submitted a filing to the SEC on March 27, 2026, as per official records.
NorthStar Fund III, LP Files SEC Document on Investment Company Act
NorthStar Fund III, LP submitted a SEC filing on March 27, 2026, related to Section 3(c)(1) of the Investment Company Act.
Blu Venture Investors Core, LLC Files SEC Notice for New Series
Blu Venture Investors Core, LLC filed a notice for its D/A - BVI Core Q42023-1 Series under Section 3(c)(1) of the Investment Company Act on March 27, 2026, according to SEC EDGAR.
Hines Master Fund Management Files SEC Document on Investment Company Act
D - Hines Master Fund Management CO S.a.r.l. filed a SEC document on March 27, 2026, referencing sections of the Investment Company Act.
SIG Alternatives Fund LP Files Under Section 3(c)(7)
D/A - SIG Alternatives Fund LP filed a document with the SEC on March 27, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Capula Enhanced Equity Fund Files Under Investment Company Act Section 3(c)(7)
Capula Enhanced Equity Fund Ltd filed a document on March 27, 2026, citing Section 3(c)(7) of the Investment Company Act.
D - EBS Muni TIF Bond Fund B, LLC Files SEC Document
D - EBS Muni TIF Bond Fund B, LLC submitted a filing to the SEC on March 27, 2026, according to EDGAR records.
DL Partners, LP Files SEC Document Under Investment Company Act Section 3(c)(1)
DL Partners, LP submitted a filing to the SEC on March 26, 2026, related to Item 3C and Section 3(c)(1) of the Investment Company Act.
Intertide Partners Opportunity Fund II LLC Files Under Investment Company Act Section 3(c)(1)
Intertide Partners Opportunity Fund II LLC submitted a filing on March 26, 2026, related to Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
Loomis Sayles Credit Dislocation Offshore Fund II Files SEC Notice
Loomis Sayles Credit Dislocation Offshore Fund II, Ltd. submitted a filing on March 26, 2026, under the Investment Company Act Section 3(c)(7).
Dara Ventures SPV I Files for Section 3(c)(1) Exemption
Dara Ventures SPV I, a series of Allocations 2026 Master, LLC, filed a document with the SEC on March 26, 2026, citing Investment Company Act Section 3(c)(1).
Lincoln Park 2025 Fund LP Files Under Section 3(c)(7)
Lincoln Park 2025 Fund LP submitted a SEC filing on March 26, 2026, referencing Section 3(c)(7) of the Investment Company Act.
D - Preferred Capital Private Equity Fund LLC Files for Section 3(c)(1) Exemption
D - Preferred Capital Private Equity Fund LLC submitted a filing on March 26, 2026, to claim an exemption under Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
Hudson Way Charlotte Fund LP Files SEC Document Under Section 3(c)(7)
Hudson Way Charlotte Fund LP filed a document with the SEC on March 26, 2026, related to Item 3C.7 of the Investment Company Act.
HWC Long Onshore Fund LP Files SEC Document for Section 3(c)(7)
D/A - HWC Long Onshore Fund, LP filed a SEC EDGAR document on March 26, 2026, specifying Item 3C.7 under the Investment Company Act Section 3(c)(7).
OIC Credit Fund IV Files SEC Document Under Section 3(c)(7)
D - OIC Credit Fund IV (Onshore) SRF, L.P. filed a SEC document on March 26, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
Warwick TRGP Law Firm Solutions Onshore Fund LP Files SEC Form on March 26, 2026
Warwick TRGP Law Firm Solutions Onshore Fund LP filed a SEC form on March 26, 2026, citing Investment Company Act Section 3(c)(7).
Crestview Partners III Co-Investors Files Under Investment Company Act Section 3(c)(7)
Crestview Partners III Co-Investors, L.P. filed a document with the SEC on March 25, 2026, related to Section 3(c)(7) of the Investment Company Act.
Crestview Partners III Co-Investors L.P. Files SEC Document Under Section 3(c)(7)
On March 25, 2026, Crestview Partners III Co-Investors L.P. filed a SEC document under Item 3C and 3C.7 for Section 3(c)(7), as per EDGAR records.
MVP LS FUND DCLVI LLC Files SEC Document Under Investment Company Act
On March 25, 2026, MVP LS FUND DCLVI LLC submitted a SEC filing related to Section 3(c)(1) of the Investment Company Act, as per official records.
Harbour Island Opportunity Fund Files for Section 3(c)(1) Exemption
Harbour Island Opportunity Fund, LP filed a regulatory document with the SEC on March 25, 2026, citing Section 3(c)(1) of the Investment Company Act.
TMAM/Pathway Private Equity Fund VII Files for Investment Company Act Exemptions
TMAM/Pathway Private Equity Fund VII, LP filed with the SEC on March 25, 2026, for exemptions under Sections 3(c)(1) and 3(c)(7).
Merritt Community Capital Fund 26, L.P. Files with SEC on March 25, 2026
Merritt Community Capital Fund 26, L.P., filed by entity 0002123990, submitted a document to the SEC on March 25, 2026, as recorded in SEC EDGAR.
Sandalwood Debt Fund A Files for Section 3(c)(1) Exemption
Sandalwood Debt Fund A, L.P. submitted a SEC filing claiming exemption under Section 3(c)(1) of the Investment Company Act on March 25, 2026.
Sandalwood Overseas Fund SPC Ltd Files SEC Document on Section 3(c)(7)
Sandalwood Overseas Fund SPC Ltd filed a document with SEC EDGAR on March 25, 2026, related to Section 3(c)(7) of the Investment Company Act.
Sandalwood Debt Fund A, L.P. Files Section 3(c)(1) Exemption
Sandalwood Debt Fund A, L.P. filed a document under Section 3(c)(1) of the Investment Company Act on March 25, 2026, according to SEC EDGAR.
Sandalwood Overseas Fund SPC Ltd Files D/A Under Section 3(c)(7)
Sandalwood Overseas Fund SPC Ltd filed a D/A on March 25, 2026, relating to Investment Company Act Section 3(c)(7), as per SEC EDGAR records.
Valent Fund LLC - Green Elements Series Files SEC Document
Valent Fund LLC's Green Elements Series filed a document with the SEC on March 25, 2026, related to Section 3(c)(7) of the Investment Company Act.
GSBackers Axiom Math Fund II Files Under Section 3(c)(7)
GSBackers Axiom Math Fund II, a series of CGF2021 LLC, filed a document with the SEC on March 25, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Rhone Technology Fund XIIId Files SEC EDGAR Form for Section 3(c)(7)
Rhone Technology Fund XIIId, a series of CGF2021 LLC, filed a SEC EDGAR form on March 25, 2026, under Item 3C and Item 3C.7 of the Investment Company Act.
Tyrus Capital Fund Files Under Investment Company Act Section 3(c)(7)
Tyrus Capital Special Situations Fund filed a document on March 25, 2026, related to Section 3(c)(7) of the Investment Company Act.
Centerbridge Flex Trigger Fund Files SEC Document on Section 3(c)(7)
D - Centerbridge Flex Trigger Fund - A, L.P. filed a SEC document on March 24, 2026, referencing Investment Company Act Section 3(c)(7), according to SEC EDGAR records.
Centerbridge Flex Trigger Fund Files Under Investment Company Act Section 3(c)(7)
D - Centerbridge Flex Trigger Fund - A, L.P. filed a document with the SEC on March 24, 2026, citing Investment Company Act Section 3(c) and 3(c)(7), according to SEC EDGAR.
Helikon Long Short Equity Fund LP Files SEC Document
Helikon Long Short Equity Fund LP filed a document with the SEC on March 24, 2026, related to Investment Company Act exemptions.
17th Street Capital, LP Files SEC Document Under Section 3(c)(7)
On March 24, 2026, 17th Street Capital, LP submitted a filing to the SEC referencing Section 3(c)(7) of the Investment Company Act.
DC 601 Co-Investment, LP Files SEC Document Under Investment Company Act
D/A - DC 601 Co-Investment, LP filed a SEC document on March 24, 2026, under Item 3C related to Section 3(c)(1) of the Investment Company Act.
