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SEC RIN: 3235-AL04 Publication ID: Spring 2019 
Title: Prohibition Against Conflicts of Interest Relating to Certain Securitizations 

The Division is considering recommending that the Commission re-propose a 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: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 230   
Legal Authority: 15 U.S.C. 77b    15 U.S.C. 77c    15 U.S.C. 77D    15 U.S.C. 77F    15 U.S.C. 77g    15 U.S.C. 77h    15 U.S.C. 77j    15 U.S.C. 77r    15 U.S.C. 77s    15 U.S.C. 77z-3m    15 U.S.C. 77sss    15 U.S.C. 78c    15 U.S.C. 78d    15 U.S.C. 78j    15 U.S.C. 78l    15 U.S.C. 78m    15 U.S.C. 78n    ...   
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd-Frank Act requires final rules within 270 days of enactment.  04/15/2011 
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 Extended End  01/13/2012 
NPRM Comment Period Extended  01/03/2012  77 FR 24   
NPRM Comment Period Extended End  02/13/2012 
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL:  
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