Regulatory Exemption
464 stories covering regulatory exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
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.
Helikon Long Short Equity Fund ICAV Files Under Section 3(c)(7)
Helikon Long Short Equity Fund ICAV filed a regulatory document on March 24, 2026, related to Section 3(c)(7) of the Investment Company Act.
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.
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.
Qena Capital Partners Files Section 3(c)(1) Exemption Notice
Qena Capital Partners Offshore, Ltd. submitted a filing under Section 3(c)(1) of the Investment Company Act on March 24, 2026, as per SEC records.
Thebes Partners, LP Files SEC Document Under Section 3(c)(7)
Thebes Partners, LP submitted a SEC filing on March 24, 2026, citing Section 3(c)(7) of the Investment Company Act.
DC 601 Co-Investment, LP Files Under Investment Company Act Section 3(c)(1)
DC 601 Co-Investment, LP submitted a filing to SEC EDGAR on March 24, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Qena Capital Partners Offshore Files Section 3(c)(1) Exemption
Qena Capital Partners Offshore Ltd. filed a SEC document on March 24, 2026, under Item 3C of the Investment Company Act.
8188 Capital XXVII Starcloud 2 Files Under Investment Company Act Section 3(c)(1)
CGF2021 LLC's series 8188 Capital XXVII Starcloud 2 filed a SEC document on March 24, 2026, citing Section 3(c)(1) of the Investment Company Act.
Capstone Dispersion Fund Files Under Investment Company Act Section 3(c)(7)
D/A - Capstone Dispersion Fund (US) LP filed a SEC document on March 24, 2026, related to Investment Company Act exemptions.
GSBackers Peltier Fund II Files for Section 3(c)(1) Exemption
GSBackers Peltier Fund II, a series of CGF2021 LLC, filed a notice under Section 3(c)(1) of the Investment Company Act on March 24, 2026, according to SEC EDGAR.
Kapital Bridge Investments LLC Series Files SEC Exemption
D - SPCX Mar 2026, a series of Kapital Bridge Investments LLC, filed under Section 3(c)(1) of the Investment Company Act on March 24, 2026, according to SEC records.
Reyes Capital Partners Files Under Investment Company Act Section 3(c)(1)
Reyes Capital Partners, LP filed a SEC document on March 24, 2026, citing reliance on Section 3(c)(1) for exemption from investment company status.
Corsair Capital Investors Ltd Files Section 3(c)(1) Exemption
Corsair Capital Investors Ltd filed a document under Investment Company Act Section 3(c)(1) on March 23, 2026, as recorded in SEC EDGAR filings.
Capco Partners Files Under Investment Company Act Section 3(c)(1)
Capco Partners, Ltd. filed a document under Item 3C of the Investment Company Act on March 23, 2026, as reported by SEC EDGAR.
Capmont MidCap Fund II SCSp Files SEC Exemption Notice
Capmont MidCap Fund II SCSp filed a notice with the SEC on March 23, 2026, for exemptions under Investment Company Act Sections 3(c)(1) and 3(c)(7).
Finality Credit Opportunities Fund LP Files for Section 3(c)(7) Exemption
D - Finality Credit Opportunities Fund LP filed a regulatory document on March 23, 2026, related to Section 3(c)(7) of the Investment Company Act.
Augurey Ventures II - Series SpaceX A Files Under Investment Company Act Section 3(c)(1)
Augurey Ventures II - Series SpaceX A submitted a filing on March 23, 2026, under Section 3(c)(1) of the Investment Company Act, as reported by SEC EDGAR.
Augurey Ventures III Files Form D Amendment Referencing Investment Company Act
Augurey Ventures III - Series SpaceX A filed an amendment to Form D on March 23, 2026, citing Section 3(c)(1) of the Investment Company Act, as per SEC records.
Corsair Capital Partners 100 LP Files SEC Document on Investment Company Act
Corsair Capital Partners 100 LP submitted a filing on March 23, 2026, related to Section 3(c)(1) of the Investment Company Act.
D/A - Diversified Exchange Fund Large-Cap, LLC Files SEC Notice for Section 3(c)(7)
D/A - Diversified Exchange Fund Large-Cap, LLC submitted a filing on March 23, 2026, related to the Investment Company Act Section 3(c)(7), as per SEC records.
Windfield Growth Fund LLC Files Under Section 3(c)(1)
Windfield Growth Fund LLC submitted a SEC filing on March 23, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
AgAide Fund I, LP Files for Investment Company Act Exemptions
D - AgAide Fund I, LP filed a SEC document on March 23, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Deep Tech Fund I LP Files Under Investment Company Act Section 3(c)(1)
D - Deep Tech Fund I LP filed a notice under Section 3(c)(1) of the Investment Company Act on March 23, 2026, as per SEC EDGAR records.
Windfield Growth Fund LLC Files SEC Document for Section 3(c)(1) Exemption
Windfield Growth Fund LLC submitted a SEC filing on March 23, 2026, related to Section 3(c)(1) of the Investment Company Act.
GC Venture XII (A-III), L.P. Files for Investment Company Act Exemption
D - GC Venture XII (A-III), L.P. submitted a filing on March 20, 2026, under Section 3(c)(7) of the Investment Company Act, as recorded in SEC EDGAR documents.
Ghisallo Credit Opportunity Partners LP Files Under Section 3(c)(7)
Ghisallo Credit Opportunity Partners LP submitted a SEC filing on March 20, 2026, related to Investment Company Act exemptions.
IC Hedge Fund Series Files for Section 3(c)(1) Exemption
IC Hedge Fund Series, L.P. - Series Tiger Global 1 Interests filed a SEC form on March 20, 2026, citing Section 3(c)(1) of the Investment Company Act.
IC Hedge Fund Series Files Under Investment Company Act Section 3(c)(1)
IC Hedge Fund Series, L.P. - Series Tiger Global 1 Interests filed a document with the SEC on March 20, 2026, citing Section 3(c)(1) of the Investment Company Act.
AG Net Lease Realty Fund V-B Files Under Section 3(c)(7)
AG Net Lease Realty Fund V-B, L.P. filed a SEC document on March 20, 2026, under Item 3C of the Investment Company Act, specifically Section 3(c)(7).
FFL VI Rome Co-Investment Fund Files SEC Form for Section 3(c)(7)
D - FFL VI Rome Co-Investment Fund, L.P. filed a SEC document on March 20, 2026, under Item 3C.7 for Section 3(c)(7) of the Investment Company Act.
FFL VI Rome Co-Investment Fund Files SEC Section 3(c)(7) Notice
D - FFL VI Rome Co-Investment Fund, L.P. filed a notice under Section 3(c)(7) of the Investment Company Act on March 20, 2026, as per SEC EDGAR records.
FFL VI Rome Co-Investment Parallel Fund Files Under Section 3(c)(7)
D - FFL VI Rome Co-Investment Parallel Fund, L.P. filed a document with the SEC on March 20, 2026, citing Investment Company Act Section 3(c) and 3(c)(7).
Greenbelt Capital Partners Phoenix L.P. Files SEC Notice for Investment Company Act Exemptions
Greenbelt Capital Partners Phoenix L.P. submitted a SEC filing on March 20, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Invesco Fixed Income Trust Files SEC Document Referencing Investment Company Act Sections
Invesco Fixed Income Trust filed a SEC EDGAR document on March 20, 2026, detailing reliance on specific sections of the Investment Company Act.
PPB Capital Dynamics Fund LP Files SEC Exemption Under Section 3(c)(7)
PPB Capital Dynamics Mid-Market Direct VI Access Fund LP submitted a filing to the SEC on March 20, 2026, related to an exemption under the Investment Company Act.
TRC Optimum Fund LLC Files SEC Document Referencing Section 3(c)(1)
TRC Optimum Fund LLC submitted a SEC filing on March 20, 2026, citing Item 3C and Section 3(c)(1) of the Investment Company Act.
TRC Optimum Fund LLC Files Under Investment Company Act Section 3(c)(1)
TRC Optimum Fund LLC filed a document on March 20, 2026, related to Section 3(c)(1) of the Investment Company Act, as per SEC EDGAR records.
Carrhae Capital Long Fund LP Files Under Section 3(c)(7)
Carrhae Capital Long Fund LP submitted a SEC filing on March 20, 2026, related to Section 3(c)(7) of the Investment Company Act.
Ceiba Digital Assets LP Files Under Investment Company Act Section 3(c)(1)
Ceiba Digital Assets LP submitted a filing on March 20, 2026, related to Section 3(c)(1) of the Investment Company Act, as reported by SEC EDGAR.
Carrhae Capital Long Master Fund Files Section 3(c)(7) Exemption
Carrhae Capital Long Master Fund Ltd filed a document under Section 3(c)(7) of the Investment Company Act on March 20, 2026, as reported in SEC EDGAR filings.
EquityZen Growth Technology Fund LLC Files SEC Document on Investment Company Act
EquityZen Growth Technology Fund LLC - Series 2257 filed a document with the SEC on March 20, 2026, related to Section 3(c)(1) of the Investment Company Act.
Socratic Eridu Holdings LLC Files SEC Form for Investment Company Act Exemption
D - Socratic Eridu Holdings LLC filed a SEC document on March 19, 2026, citing Investment Company Act Section 3(c) and Section 3(c)(7).
400 Capital Merchant Street Fund LP Files Section 3(c)(7) Exemption
400 Capital Merchant Street Fund LP submitted a filing under Section 3(c)(7) of the Investment Company Act on March 19, 2026, according to SEC EDGAR.
Triple Private Equity Fund I CIV SCSp Files for Section 3(c)(7) Exemption
Triple Private Equity Fund I CIV SCSp filed a notice with the SEC on March 19, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
WTW Real Assets Fund Files Under Section 3(c)(7)
WTW Real Assets Fund, L.P. submitted a filing on March 19, 2026, related to Section 3(c)(7) of the Investment Company Act.
Primordial Ventures Fund I Files for Section 3(c)(1) Exemption
D - Primordial Ventures Fund I, LP filed an SEC document on March 19, 2026, citing Section 3(c)(1) of the Investment Company Act.
CFPE Partners X, L.P. Files Under Investment Company Act Section 3(c)(1)
CFPE Partners X, L.P. submitted a regulatory filing on March 19, 2026, under Section 3(c)(1) of the Investment Company Act, as reported by SEC EDGAR.
Primordial Ventures Fund I, LP Files for Section 3(c)(1) Exemption
Primordial Ventures Fund I, LP submitted a SEC EDGAR filing on March 19, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Barricade Investment Partners LLC Files SEC Document on Investment Company Act
Barricade Investment Partners LLC filed a SEC document on March 19, 2026, related to Section 3(c)(1) of the Investment Company Act.
