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Prohibition Against Conflicts of Interest in Certain Securitizations

SEC · final-rule · Published 2023-12-07 · Effective 2024-02-05 · 88 FR 85396

Document

Document number
2023-26430
Federal Register citation
88 FR 85396
CFR reference
17 CFR 230
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2023-12-07
Effective date
2024-02-05
Docket
Release No. 33-11254

Abstract

The Securities and Exchange Commission ("SEC" or "Commission") is adopting a rule to implement Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act") prohibiting an underwriter, placement agent, initial purchaser, or sponsor of an asset-backed security (including a synthetic asset-backed security), or certain affiliates or subsidiaries of any such entity, from engaging in any transaction that would involve or result in certain material conflicts of interest.

Source

Authoritative
Federal Register document
Machine
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