Regulatory Exemption
464 stories covering regulatory exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Focused Investors Fund LP Files for Section 3(c)(7) Exemption
D/A - Focused Investors Fund LP submitted a filing on April 2, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Avlok Capital, LP Files SEC Document with Section 3(c)(1) Reference
Avlok Capital, LP submitted a SEC filing on April 2, 2026, including Item 3C for Section 3(c)(1) of the Investment Company Act.
D/A - Focused Investors Fund L.P. Files SEC Document for Section 3(c)(7)
D/A - Focused Investors Fund L.P. filed a document with the SEC on April 2, 2026, related to Section 3(c)(7) of the Investment Company Act.
Decibel Partners III, LP Files SEC Amendment
Decibel Partners III, LP submitted a definitive amendment filing to the SEC on April 2, 2026, related to Investment Company Act exemptions.
AMAP Capital, LLC Files SEC Document on Section 3(c)(1)
AMAP Capital, LLC submitted a filing to the SEC on April 2, 2026, related to Section 3(c)(1) of the Investment Company Act.
AMAP Capital, LLC Files Under Investment Company Act Section 3(c)(1)
AMAP Capital, LLC submitted a SEC EDGAR filing on April 2, 2026, related to Section 3(c)(1) of the Investment Company Act.
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 Files Under Section 3(c)(1)
REFASHIOND Ventures Seed Fund, LP filed a document with the SEC on April 2, 2026, citing 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.
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 Feeder L.P. Files SEC Document on Investment Company Act
On April 2, 2026, StepStone Boulder II Equity Feeder L.P. submitted a filing to the SEC under Item 3C of the Investment Company Act, citing 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.
StepStone Boulder II Equity S, L.P. Files Under Investment Company Act Section 3(c)(7)
StepStone Boulder II Equity S, L.P. submitted a SEC filing on April 2, 2026, related to Section 3(c)(7) of the Investment Company Act.
BCA Select, LLC Files Under Section 3(c)(7) of Investment Company Act
D/A - BCA Select, LLC - Series 3 - Junto Capital Partners filed a document under Section 3(c)(7) on April 2, 2026, as per SEC EDGAR records.
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).
Swift Street Capital Fund I, LP Files SEC Form for Investment Company Act Exemption
Swift Street Capital Fund I, LP filed a SEC EDGAR form on April 2, 2026, citing Section 3(c)(1) of the Investment Company Act.
Mill Hill Fund Files for Section 3(c)(7) Exemption on SEC EDGAR
Mill Hill Structured Credit Opportunities Fund LP filed a Form D/A on April 2, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act, as per SEC EDGAR records.
Swift Street Capital Fund I, LP Files SEC Form D
Swift Street Capital Fund I, LP filed a Form D with the SEC on April 2, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
Woodworth Contrarian Fund Files Under Investment Company Act Section 3(c)(1)
Woodworth Contrarian Stock & Bond Fund, L.P. filed a document with SEC EDGAR on April 2, 2026, under Item 3C for Section 3(c)(1) of the Investment Company Act.
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).
Ares Pathfinder Fund III Files SEC Document for Section 3(c)(7)
Ares Pathfinder Fund III (Offshore) LP filed a SEC document on April 1, 2026, related to Investment Company Act Section 3(c)(7).
Blackstone Energy Transition Partners V L.P. Files SEC Form for Section 3(c)(7)
Blackstone Energy Transition Partners V L.P. filed a SEC EDGAR document on April 1, 2026, related to Investment Company Act Section 3(c)(7).
TCW Transform Systems Private Fund Files Under Section 3(c)(7)
TCW Transform Systems Private Fund, L.P. filed a SEC document on April 1, 2026, citing Section 3(c)(7) of the Investment Company Act.
Crow Holdings Realty Partners XI-B Files Form D with SEC
Crow Holdings Realty Partners XI-B, 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.
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 Form D/A for Section 3(c)(7) Exemption
D/A - Ventures II, LP submitted a Form D/A to the SEC on April 1, 2026, detailing reliance on Section 3(c)(7) of the Investment Company Act.
Blackstone Energy Transition Partners V Files SEC Exemption
Blackstone Energy Transition Partners V - BL L.P. filed a document under the Investment Company Act Section 3(c)(7) on April 1, 2026, as per SEC EDGAR records.
Theta Flux Capital Fund LLC Files SEC Exemption Notice
D - Theta Flux Capital Fund, LLC filed a notice with the SEC on April 1, 2026, under Section 3(c)(1) of the Investment Company Act.
Theta Flux Capital Fund LLC Files SEC Form D
Theta Flux Capital Fund LLC filed a Form D on April 1, 2026, under Item 3C claiming exemption under Section 3(c)(1) of the Investment Company Act.
TinySeed Fund 3A, LP Files Under Investment Company Act Section 3(c)(1)
TinySeed Fund 3A, LP filed a SEC document on April 1, 2026, related to Section 3(c)(1) of the Investment Company Act, as per official records.
Align Fund 2, LP Files SEC Document on Investment Company Act
Align Fund 2, LP submitted a filing to the SEC on April 1, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Align Fund 2, LP Files Under Investment Company Act Section 3(c)(1)
Align Fund 2, LP submitted a SEC filing on April 1, 2026, invoking Section 3(c)(1) of the Investment Company Act.
Kamal Ravikant Capital, LP Files Form D with SEC
Kamal Ravikant Capital, LP submitted a Form D filing to the SEC on April 1, 2026, claiming exemptions under the Investment Company Act.
Sixth Street TAO Partners Files SEC Form for Section 3(c)(7)
D - Sixth Street TAO Partners (H), L.P. filed a SEC EDGAR document on April 1, 2026, related to Investment Company Act Section 3(c)(7).
Sixth Street TAO Partners Files Under Section 3(c)(7)
Sixth Street TAO Partners (H), L.P. filed a document with the SEC on April 1, 2026, under Item 3C.7 of the Investment Company Act.
WTC Multi Strategy Fund Offshore Files SEC Document on Investment Company Act
D/A - WTC Multi Strategy Fund Offshore, LLC filed a SEC document on April 1, 2026, citing Investment Company Act Section 3(c) and Section 3(c)(7).
WTC Multi Strategy Fund Offshore LLC Files Form D/A Under Section 3(c)(7)
WTC Multi Strategy Fund Offshore LLC filed a Form D/A on April 1, 2026, referencing Section 3(c)(7) of the Investment Company Act, as reported in SEC EDGAR filings.
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.
Aubrey GEMs Partners LP Files Under Investment Company Act Section 3(c)(1)
Aubrey GEMs Partners LP submitted a SEC filing on April 1, 2026, under Item 3C.1 of the Investment Company Act.
Ithaka Infra Fund III Files for Investment Company Act Exemptions
Ithaka Infra Fund III, F.C.R., filed a document with SEC EDGAR on April 1, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
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.
Everview Residential Finance Holdings B, L.P. Files for Investment Act Exemptions
Everview Residential Finance Holdings B, L.P. filed a document on March 31, 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 for Investment Company Act Exemptions
L Squared Capital Partners V-B LP submitted a SEC filing on March 31, 2026, for 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 Files Under Investment Company Act Section 3(c)(7)
Centerbridge Keystone Fund, L.P. filed a SEC form on March 31, 2026, citing Section 3(c)(7) of the Investment Company Act for exemption purposes.
D - MIP HPC Domestic Partners, L.P. Files Under Section 3(c)(7)
D - MIP HPC Domestic Partners, L.P. filed a SEC document under Item 3C.7 for Section 3(c)(7) of the Investment Company Act on March 31, 2026.
L Squared Capital Partners V-EF LP Files for Investment Company Act Exemptions
L Squared Capital Partners V-EF LP submitted a SEC filing on March 31, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
MIP HPC Foreign Partners, L.P. Files Under Investment Company Act Section 3(c)(7)
D - MIP HPC Foreign Partners, L.P. filed a SEC document on March 31, 2026, referencing Item 3C and Section 3(c)(7) of the Investment Company Act.
WH Strategic Growth Fund III, LP Files Under Investment Company Act Section 3(c)(1)
WH Strategic Growth Fund III, LP filed a document with the SEC on March 31, 2026, invoking Section 3(c)(1) for exemption, according to SEC EDGAR records.
