Regulatory Exemption
494 stories covering regulatory exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Magnetar Investment APPK LP Files SEC Document on Investment Company Act Section 3(c)(7)
Magnetar Investment APPK LP submitted a SEC filing on March 13, 2026, related to Investment Company Act exemptions under Section 3(c)(7).
AlphaKeys Strategic Partners Offshore X, L.P. Files SEC Notice for Section 3(c)(7)
AlphaKeys Strategic Partners Offshore X, L.P. filed a document with the SEC on March 13, 2026, under Item 3C.7 for Section 3(c)(7) of the Investment Company Act.
AlphaKeys Strategic Partners Offshore X, L.P. Files Under Investment Company Act Section 3(c)(7)
D - AlphaKeys Strategic Partners Offshore X, L.P. filed a document with the SEC on March 13, 2026, citing Section 3(c)(7) of the Investment Company Act.
HOPE Ventures II, LLC Files for Section 3(c)(1) Exemption
HOPE Ventures II, LLC submitted a SEC filing on March 13, 2026, for an exemption under Section 3(c)(1) of the Investment Company Act.
HOPE Ventures II, LLC Files Under Investment Company Act Section 3(c)(1)
HOPE Ventures II, LLC submitted a SEC filing on March 13, 2026, for Item 3C.1 under Section 3(c)(1) of the Investment Company Act.
Oxshott Venture Fund VIII LLC Files Under Section 3(c)(1)
Oxshott Venture Fund VIII LLC submitted a SEC filing on March 13, 2026, for exemption under Section 3(c)(1) of the Investment Company Act.
Shakti Venture Capital Gatik, LLC Files SEC Notice for Investment Company Act Exemption
Shakti Venture Capital Gatik, LLC submitted a filing on March 13, 2026, under Section 3(c)(1) of the Investment Company Act, as per SEC EDGAR records.
Silvercrest Insurance Fund LP Files SEC Document for Section 3(c)(7)
D - TALSON - SILVERCREST INSURANCE FUND, LP filed a SEC document on March 13, 2026, related to Item 3C.7 under the Investment Company Act.
Pabrai Investment Fund 3 Files SEC Notice for Section 3(c)(1) Exemption
Pabrai Investment Fund 3, Ltd. filed a SEC document on March 12, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
Pabrai Investment Fund 2, L.P. Files Under SEC Investment Company Act Section 3(c)(1)
Pabrai Investment Fund 2, L.P. submitted a filing to the SEC on March 12, 2026, citing Item 3C and Section 3(c)(1) of the Investment Company Act.
Pabrai Investment Fund 3 Files Under Investment Company Act Section 3(c)(1)
Pabrai Investment Fund 3, Ltd. submitted a SEC filing on March 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
Woven Equity Fund Files for Section 3(c)(1) Exemption
D - Woven Equity Fund, LP submitted a SEC filing on March 12, 2026, for exemption under Section 3(c)(1) of the Investment Company Act.
Carnatic Partners LP Files for Section 3(c)(1) Exemption
Carnatic Partners LP submitted a SEC filing on March 12, 2026, for exemption under Section 3(c)(1) of the Investment Company Act.
Iconiq Strategic Partners VII Co-Invest Files SEC Notice for Section 3(c)(7) Exemption
ICONIQ Strategic Partners VII Co-Invest, L.P. (Series Q) filed a notice with the SEC on March 12, 2026, under Section 3(c)(7) of the Investment Company Act.
ICONIQ Strategic Partners VII Co-Invest Files SEC Exemption Under Section 3(c)(7)
ICONIQ Strategic Partners VII Co-Invest, L.P. (Series Q) filed a notice with the SEC on March 12, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Griffin Capital Development Partners Fund III Files SEC Form for Investment Company Act
Griffin Capital Development Partners Fund III, L.P. filed a SEC form on March 12, 2026, citing Section 3(c)(5) of the Investment Company Act, according to SEC EDGAR records.
EJF Financial Debt Strategies Fund LP Files Form D/A
EJF Financial Debt Strategies Fund LP submitted a Form D/A filing on March 12, 2026, referencing Section 3(c)(7) of the Investment Company Act.
K5 Tech Fund II, LP - Series 203 Files Under Section 3(c)(7)
On March 12, 2026, K5 Tech Fund II, LP - Series 203 filed a document with the SEC under Item 3C for Section 3(c)(7) of the Investment Company Act.
Privateer Verdant Ventures Files SEC Notice Under Section 3(c)(1)
D - Privateer Verdant Ventures FEB2026, a series of CGF2021 LLC, filed a SEC document on March 12, 2026, related to Section 3(c)(1) of the Investment Company Act.
Lightspring Capital II, LP Files for Investment Company Act Exemptions
Lightspring Capital II, LP submitted a SEC filing on March 11, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Lightspring Capital II, LP Files SEC Exemption Notice
Lightspring Capital II, LP submitted a filing to the SEC on March 11, 2026, for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Perini Capital Phoenix Fund Files for Section 3(c)(1) Exemption
Perini Capital Phoenix Fund, LLC submitted a SEC filing on March 11, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Perini Capital Phoenix Fund LLC Files Under Section 3(c)(1)
Perini Capital Phoenix Fund LLC filed a SEC document on March 11, 2026, under Section 3(c)(1) of the Investment Company Act.
Reciprocal Ventures Files for Section 3(c)(1) Exemption
D - Reciprocal Ventures, a Series of Decile Start Fund, LP, filed a SEC document on March 11, 2026, related to Investment Company Act Section 3(c)(1).
Still Point Partners Fund I Files for SEC Exemptions
Still Point Partners Fund I, LP filed for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act on March 11, 2026, according to SEC EDGAR.
Avanath Affordable Housing Fund Files Under Section 3(c)(7)
Avanath Affordable Housing Renaissance Fund, L.P. filed a document with the SEC on March 11, 2026, related to Section 3(c)(7) of the Investment Company Act.
Bain Capital Senior Loan Select LLC Files for Section 3(c)(7) Exemption
Bain Capital Senior Loan Select LLC submitted a filing on March 11, 2026, for exemption under Section 3(c)(7) of the Investment Company Act, as per SEC EDGAR records.
MGI Investments LP Series 38 Files Under Investment Company Act Section 3(c)(1)
D - MGI Investments LP - Series 38 filed a document on March 11, 2026, under Item 3C.1 for Section 3(c)(1) of the Investment Company Act.
Fontinalis Special Opportunity Fund VF, L.P. Files SEC Notice for Investment Company Act Section 3(c)(7)
D - Fontinalis Special Opportunity Fund VF, L.P. filed a document with the SEC on March 9, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Cheyenne Partners LP Files Under Investment Company Act Section 3(c)(1)
Cheyenne Partners LP submitted a SEC filing on March 10, 2026, citing Section 3(c)(1) of the Investment Company Act.
EquityZen Fund Files for Section 3(c)(1) Exemption
EquityZen Growth Technology Fund LLC - Series 2246 filed a document with SEC EDGAR on March 10, 2026, citing Section 3(c)(1) of the Investment Company Act.
Financial Edge Fund L P Files SEC Document for Section 3(c)(1)
D/A - FINANCIAL Edge Fund L P submitted a SEC filing on March 10, 2026, related to Item 3C of the Investment Company Act.
Chodikee Lake Partners LP Files SEC Document for Investment Company Act Exemption
Chodikee Lake Partners LP filed a SEC document on March 10, 2026, related to Section 3(c)(1) of the Investment Company Act.
Hecher Capital Fund Files for Section 3(c)(1) Exemption
D - Hecher Capital Fund, LP filed a document with the SEC on March 10, 2026, citing Section 3(c)(1) of the Investment Company Act.
Kindred Capital Co-Invest III LP Files SEC Exemption Claim
Kindred Capital Co-Invest III LP filed a notice under Section 3(c)(1) of the Investment Company Act on March 9, 2026, as per SEC records.
Navigate Ventures Fund II, LP Files SEC Form D/A for Exemption
Navigate Ventures Fund II, LP submitted a Form D/A filing on March 9, 2026, claiming exemption under Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Credit Alternatives Fund Files for Section 3(c)(7) Exemption
D/A - Credit Alternatives Fund, LTD. filed a document with SEC EDGAR on March 9, 2026, related to Section 3(c)(7) of the Investment Company Act.
Credit Alternatives Fund LLC Files Section 3(c)(7) Exemption
D/A - Credit Alternatives Fund LLC submitted a SEC filing on March 9, 2026, for exemption under Investment Company Act Section 3(c)(7).
KHC Partners Fund II LP Files SEC Document for Section 3(c)(7)
KHC Partners Fund II LP submitted a SEC filing on March 9, 2026, related to Investment Company Act exemptions.
Piedmont Partners Offshore L.P. Files SEC Document Under Investment Company Act
D/A - Piedmont Partners Offshore, L.P. filed a SEC document on March 9, 2026, invoking Section 3(c)(7) exemption.
SaddleRock Capital Cayman Fund Files Under Section 3(c)(7)
SaddleRock Capital Cayman Fund Ltd submitted a SEC filing on March 9, 2026, related to Investment Company Act exemptions.
D - CA-1213 Fund I Files for Section 3(c)(1) Exemption
D - CA-1213 Fund I, a series of Roll Up Vehicles, LP, filed an SEC document on March 9, 2026, related to Section 3(c)(1) of the Investment Company Act.
FINYX FUND US LP Files Under SEC Investment Company Act
FINYX FUND US LP submitted a SEC filing on March 9, 2026, citing Section 3(c)(1) of the Investment Company Act.
Three Haven Capital Files Under Investment Company Act Section 3(c)(1)
Three Haven Capital, LP submitted a SEC filing on March 9, 2026, related to Section 3(c)(1) exemption.
