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SEC | RIN: 3235-AL04 | Publication ID: Fall 2013 |
Title: Prohibition Against Conflicts of Interest Relating to Certain Securitizations | |
Abstract: The Commission proposed for comment a new rule under the Securities Act to implement the prohibition under section 621 of the Dodd Frank Act on material conflicts of interest in connection with certain securitizations. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 230 | |
Legal Authority: 15 USC 77b 15 USC 77c 15 USC 77D 15 USC 77F 15 USC 77g 15 USC 77h 15 USC 77j 15 USC 77r 15 USC 77s 15 USC 77z-3m 15 USC 77sss 15 USC 78c 15 USC 78d 15 USC 78j 15 USC 78l 15 USC 78m 15 USC 78n ... |
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: Undetermined |
Federalism: Undetermined | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2011/34-65355.pdf | |
RIN Data Printed in the FR: No | |
Agency Contact: Elizabeth Sandoe Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5736 Email: sandoee@sec.gov |