Regulatory Exemption
464 stories covering regulatory exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
JS Venture Fund LLC Series A27 Files for Section 3(c)(7) Exemption
JS Venture Fund LLC Series A27 submitted a filing on April 7, 2026, claiming an exemption under Section 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
Tourlite Fund, LP Files SEC Document for Investment Company Act Section 3(c)(1)
Tourlite Fund, LP submitted a SEC filing on April 7, 2026, related to Section 3(c)(1) of the Investment Company Act.
Astro Miso II Files Under Investment Company Act Section 3(c)(7)
Astro Miso II a Series of Astro Funds LLC filed a document on April 7, 2026, related to Section 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
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.
Lavelle Capital Opportunity LP Files for Section 3(c)(7) Exemption
Lavelle Capital Opportunity LP - Series 10 submitted a SEC filing on April 7, 2026, for Investment Company Act Section 3(c)(7).
Onex Direct Lending Cayman Fund Files Section 3(c)(7) Notice
Onex Direct Lending Cayman Fund LLC filed a notice with the SEC on April 7, 2026, related to Section 3(c)(7) of the Investment Company Act.
WH Strategic Growth Fund II, LP Files for Section 3(c)(1) Exemption
WH Strategic Growth Fund II, LP submitted a SEC filing on April 7, 2026, under Item 3C.1 for exemption from the Investment Company Act.
2E Select Credit Offshore Fund Files SEC Notice for Investment Company Act Exemption
D/A - 2E Select Credit Offshore Fund Ltd. filed a document with the SEC on April 7, 2026, related to Section 3(c)(7) of the Investment Company Act.
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.
FVP National Security Fund II, L.P. Files SEC Document on Investment Company Act
FVP National Security Fund II, L.P. submitted a filing to the SEC on April 7, 2026, related to Section 3(c)(1) of the Investment Company Act.
Legacy Stone Capital LLC Files SEC Document on Investment Company Act
Legacy Stone Capital LLC submitted a filing to the SEC on April 7, 2026, referencing Section 3(c)(5) of the Investment Company Act.
Forge Select Fund I-A, LP Files SEC Document for Section 3(c)(7)
D - Forge Select Fund I-A, LP submitted a filing to the SEC on April 6, 2026, related to Investment Company Act Section 3(c)(7).
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.
Mederi Capital Fund LP Files for Section 3(c)(1) Exemption
D/A - Mederi Capital Fund LP filed a document with SEC EDGAR on April 6, 2026, related to Item 3C of the Investment Company Act.
Star Mountain Fund III Files for Section 3(c)(7) Exemption
Star Mountain U.S. Lower Middle-Market Secondary Fund III (Offshore), LP filed a document with the SEC on April 6, 2026, citing Section 3(c)(7) of the Investment Company Act.
ZP MidCap Fund Files Under Investment Company Act Section 3(c)(7)
ZP MidCap Fund, L.P. submitted a filing to SEC EDGAR 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.
Baskerville Capital Partners Files Form D/A for Section 3(c)(1) Exemption
Baskerville Capital Partners, LP filed a Form D/A on April 6, 2026, citing Investment Company Act exemptions as per SEC EDGAR records.
Livingston Capital Income L.P. Files SEC Form D for Section 3(c)(1)
Livingston Capital Income L.P. filed a Form D with the SEC on April 6, 2026, claiming an exemption under Section 3(c)(1) 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.
True Green Capital Fund V-B Files SEC Exemption Notice
True Green Capital Fund V-B, L.P. filed a notice with the SEC on April 6, 2026, under Section 3(c)(7) of the Investment Company Act.
True Green Capital Fund V-A Files Under Section 3(c)(7)
True Green Capital Fund V-A, L.P. filed a SEC document on April 6, 2026, citing Section 3(c)(7) of the Investment Company Act.
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, LP - D2 Files SEC Document on April 6, 2026
Balaji Rolling Fund, LP - D2 submitted a filing to the SEC on April 6, 2026, claiming exemptions under the Investment Company Act Sections 3(c)(1) and 3(c)(7).
Balaji Rolling Fund, LP - D2 Files SEC Form Under Investment Company Act
Balaji Rolling Fund, LP - D2 filed a SEC document on April 6, 2026, citing 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.
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.
TS Bayes Capital Fund LP Files SEC Form D/A
TS Bayes Capital Fund LP filed a Form D/A with the SEC on April 6, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
House of Stone Capital Fund One LLC Files for Section 3(c)(1) Exemption
House of Stone Capital Fund One LLC submitted a filing to the SEC on April 3, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Oasis Japan Strategic Fund Y Files Form D/A with SEC
Oasis Japan Strategic Fund Y Offshore Feeder Ltd. filed a Form D/A on April 3, 2026, citing Section 3(c)(7) of the Investment Company Act.
Oasis Japan Strategic Fund Y US Feeder Ltd. Files SEC Document on Section 3(c)(7)
Oasis Japan Strategic Fund Y US Feeder Ltd. filed a SEC document on April 3, 2026, related to the Investment Company Act Section 3(c) and Section 3(c)(7).
KPE 2026 Allocate Access Fund Files Under Section 3(c)(7)
D - KPE 2026 Allocate Access Fund, L.P. filed a document under Section 3(c)(7) of the Investment Company Act on April 3, 2026, according to SEC EDGAR.
PennantPark Senior Credit Fund II Levered Feeder, LP Files for Section 3(c)(7) Exemption
PennantPark Senior Credit Fund II Levered Feeder, LP filed a document on April 3, 2026, under Item 3C.7 of the Investment Company Act Section 3(c), according to SEC EDGAR.
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.
PennantPark Senior Credit Fund II Levered Feeder, LP Files Section 3(c)(7) Notice
PennantPark Senior Credit Fund II Levered Feeder, LP submitted a filing under the Investment Company Act Section 3(c)(7) on April 3, 2026, according to SEC EDGAR.
Acuitas Long/Short Fund LP Files Under Section 3(c)(1)
Acuitas Long/Short Fund LP submitted a filing under Section 3(c)(1) of the Investment Company Act on April 3, 2026, according to SEC EDGAR records.
PCM Long Offshore Fund Files SEC Notice for Section 3(c)(7) Exemption
PCM Long Offshore Fund, Ltd. filed a SEC document on April 3, 2026, related to Investment Company Act exemptions, according to SEC EDGAR records.
PCM Long Offshore Fund Files Section 3(c)(7) Exemption
PCM Long Offshore Fund Ltd. filed a document under Item 3C of the Investment Company Act on April 3, 2026, according to SEC EDGAR.
Sagefield Multi-Strategy Fund LP Files SEC Document on Section 3(c)(7)
Sagefield Multi-Strategy Fund LP submitted a filing to the SEC on April 3, 2026, related to Section 3(c)(7) of the Investment Company Act.
Sagefield Multi-Strategy Fund LP Files Under Section 3(c)(7)
Sagefield Multi-Strategy Fund LP filed a document with the SEC on April 3, 2026, under Item 3C and Item 3C.7 of the Investment Company Act.
Sagefield Multi-Strategy Offshore Fund Files SEC Document for Section 3(c)(7)
Sagefield Multi-Strategy Offshore Fund Ltd. filed a SEC EDGAR document on April 3, 2026, under Item 3C.7 for Section 3(c)(7) of the Investment Company Act.
Sagefield Multi-Strategy Offshore Fund Files Under Section 3(c)(7)
Sagefield Multi-Strategy Offshore Fund Ltd. filed a notice under Section 3(c)(7) of the Investment Company Act on April 3, 2026, according to SEC EDGAR.
Sagefield Relative Value Offshore Fund Ltd Files SEC Document
Sagefield Relative Value Offshore Fund Ltd filed a document with the SEC on April 3, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Sagefield Relative Value Offshore Fund Ltd Files Under SEC Section 3(c)(7)
Sagefield Relative Value Offshore Fund Ltd submitted a filing to the SEC on April 3, 2026, under Section 3(c)(7) of the Investment Company Act.
Hill City Capital Onshore Fund LP Files Under Section 3(c)(7)
Hill City Capital Onshore Fund LP submitted a filing to the SEC on April 3, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Riparian Water Fund Delaware Feeder, LP Files SEC Document for Section 3(c)(7)
Riparian Water Fund Delaware Feeder, LP filed a SEC document on April 3, 2026, citing Section 3(c)(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.
Apollo Fund Files SEC Form for Section 3(c)(7) Exemption
Apollo Multi Asset Credit Replacement Co-Investors (A), L.P. filed a SEC document on April 2, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
Vista Co-Invest Fund 2026-1 Files SEC Document for Section 3(c)(7) Exemption
D - Vista Co-Invest Fund 2026-1, L.P. filed a 10 KB document with the SEC on April 2, 2026, related to Investment Company Act Section 3(c)(7).
Avlok Capital, LP Files Form D with SEC Exemption Claim
Avlok Capital, LP submitted a Form D filing to the SEC on April 2, 2026, specifying reliance on Section 3(c)(1) of the Investment Company Act.
