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View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

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; ... 
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd Frank Act requires final rules within 270 days of enactment.  04/15/2011 
Timetable:
Action Date FR Cite
NPRM  09/28/2011  76 FR 60320 
NPRM Comment Period End  12/19/2011   
NPRM Comment Period Extended  12/16/2011  76 FR 78181 
NPRM Comment Period End  01/13/2012   
NPRM Comment Period Extended  01/02/2012  77 FR 24 
NPRM Comment Period Extended End  02/13/2012   
Next Action  10/00/2014   
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

 
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