# Prohibition Against Conflicts of Interest in Certain Securitizations
> **US Securities and Exchange Commission** · Final rule. · Published 2023-12-07 · Effective 2024-02-05 · 88 FR 85396
## Document
- **Document number:** 2023-26430
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 88 FR 85396
- **CFR reference:** 17 CFR 230
- **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
- [Federal Register document](https://www.federalregister.gov/documents/2023/12/07/2023-26430/prohibition-against-conflicts-of-interest-in-certain-securitizations)
---
*AI Analytics · CC0 1.0*