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Featured Article SEC Staff Statement on Private Credit and Practical Expedient Valuation

The statement is directed primarily at registered closed-end, interval and tender offer funds, BDCs, and private funds registered under the Exchange Act, but its concepts apply equally to any fund holding private credit or fund interests acquired through secondaries.

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SEC Staff Statement on Private Credit and Practical Expedient Valuation

The statement is directed primarily at registered closed-end, interval and tender offer funds, BDCs, and private funds registered under the…

SEC Risk Alert Focuses on Annual Compliance Reviews

On September 14, 2026, the SEC’s Division of Examinations issued a Risk Alert describing deficiencies the staff identified in advisers’…

No Investor Losses, Still an Enforcement Case: SEC Targets Undisclosed Real Estate Conflicts

The SEC alleged that an individual failed to fully disclose certain conflicts of interest to clients and to his advisory…

Analytical Note

OMB Releases RegFlex Agenda

On July 2, 2026, OMB released its Regflex Agenda which provides public notice of the regulatory actions the SEC expects…

Our AI Regulatory Tracker provides an overview of key federal, state, and international policies relating to AI legislation and depicts SEC enforcement cases that relate to AI or cybersecurity violations.
Analytical Note

Atkins Commission Proposes Revising Form PF and Requests Comments on Private Credit

The Atkins Commission proposed updates to Form PF, aiming to ease burdens on managers by raising filing thresholds, removing certain…

Our AI Regulatory Tracker provides an overview of key federal, state, and international policies relating to AI legislation and depicts SEC enforcement cases that relate to AI or cybersecurity violations.
Presentation

Introducing Iron Road’s AI Reg Navigator

Our AI Regulatory Navigator provides an overview of key federal, state, and international policies relating to AI legislation and SEC…

Infographic

Compliance Risks for Evergreen Products in a Liquidity Challenged Environment

Drawing on our experience with the post-GFC regulatory environment, we developed this infographic outlining key considerations for managing liquidity in…

Analytical Note

SEC Charges Adviser in Connection with a Series of Season and Sell Transactions

In a first ever case, the SEC announced a settled enforcement action against an investment adviser arising from a series…

the SEC proposed amendments to Form N-PORT that would largely roll back or revise elements of the SEC’s 2024 Form N-PORT amendments, which had contemplated monthly public Form N-PORT reporting on an accelerated 30-day deadline.
Analytical Note

SEC Proposes Changes to Form N-Port

The SEC proposed amendments to Form N-PORT that would largely roll back or revise elements of the SEC’s 2024 Form…

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