SFA Conflict of Interest Resource Hub
SEC Final Conflicts of Interest Rule
The Securities and Exchange Commission (SEC) adopted Rule 192 on November 27, 2023, to prohibit conflicts of interest in certain securitization transactions. This rule applies to securitization participants involved in asset-backed securities (ABS) and aims to prevent conflicts of interest between these participants and investors.
Resource Links
Explore these valuable links to SEC’s final Conflicts of Interest Rule.
SEC Conflict of Interest Final Rule
Explore the SEC Final Rule prohibiting conflicts of interest in certain securitizations, aimed at enhancing transparency and ensuring compliance within financial markets.
SEC Conflict of Interest Final Rule: Federal Register Version
Access the Federal Register version of the SEC Final Rule on the prohibition against conflicts of interest in certain securitizations, ensuring comprehensive regulatory transparency.
SEC Conflict of Interest Final Rule: Press Release (November 27, 2023)
Read the SEC Press Release dated November 27, 2023, announcing the adoption of a new regulatory rule. This rule is designed to prohibit conflicts of interest specifically in certain securitizations, emphasizing the SEC’s commitment to fostering transparency and integrity in financial markets.”
SEC Conflict of Interest Final Rule: Fact Sheet
Here you will find the Fact Sheet for the SEC Conflict of Interest Final Rule (§ 230.192), providing a comprehensive overview of key provisions, objectives, and anticipated impacts of the regulatory measures now in effect.
SEC Guidance – A Small Entity Compliance Guide
Explore the SEC Guidance on Small Entity Compliance, designed to assist businesses in understanding and adhering to regulatory requirements in a straightforward manner.
SEC Conflict of Interest Final Rule Redline
Here you will find the SEC Conflict of Interest Final Rule (§ 230.192) redlined. We have meticulously redlined the proposed rule, highlighting and noting each modification and addition. This comprehensive comparison allows you to easily identify what has changed from the initial proposal to the final rule, ensuring a clear understanding of the updates and their implications.