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SFA Conflict of Interest Resource Hub

Overview

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. Our SFA Conflict of Interest Resource Hub aggregates key materials to keep you informed on this critical issue, along with insights from our members to provide diverse perspectives and valuable commentary.

SFA Resources

SEC Proposed Conflicts of Interest Rule Resources

SEC Conflict of Interest Final Rule Resources

SEC Conflicts of Interest Rule: Commissioners Statements

SEC Prohibition Against Conflicts of Interest in Certain Securitizations Public Comment Letters

SFA Extension Request on Proposed Conflicts of Interest Rule

 Tax Policy Committee Hero

SEC Conflicts of Interest Rule: Media Spotlight

Structured Finance Association’s Commentary on SEC’s Proposed Conflict of Interest Rule

 RMBS Market_ Government Guaranteed Committee Overview Imags

SEC Conflicts of Interest Rule: SFA Advocacy Documents
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SFA Conflict of Interests Member Resources

Explore a curated collection of resources on the SEC Conflicts of Interest issue, provided by members of the Structured Finance Association. Access expert insights, articles, and guidelines to stay informed and navigate this critical topic.

Explore Member Resources