SFA Conflict of Interests Member Resources

Proposed Rule:

• Feeling conflicted: SEC Rule 192 and you – A&O Shearman | March 14, 2023

Final Rule:

• SEC Rule 192: Prohibition against conflicts of interest in certain securitizations – A&O Shearman | Dec 11, 2023

Final Rule:

• New SEC Rule 192: Prohibition Against Conflicts of Interest in Certain Securitizations | March 11, 2024

Proposed Rule:

• SEC Re-Proposes a Rule Prohibiting Conflicts of Interest in Certain Securitizations | February 9, 2023

Final Rule:

• SEC Adopts a Rule Prohibiting Conflicts of Interest in Certain Securitizations | December 05, 2023

• Clients & Friends Memo – December 5, 2023

Proposed Rule:

• New SEC Rule 192 on Conflict of Interest for ABS | March 20, 2023

Final Rule:

• SEC Releases Final Rule 192 on Conflicts of Interest for ABS | January 25, 2024

Final Rule:

• ABS Conflicts of Interest Rule: Potholes on the Road to Implementation | February 23, 2024

Final Rule:

• Impact of SEC Conflicts of Interest Rule on CRT Transactions | January 9, 2024

Proposed Rule:

• The Return of Dodd-Frank Rulemaking: SEC Proposes Expansive Prohibition on Conflicts of Interest in Securitization | February 7, 2023

Final Rule:

• SEC Releases Final Rule 192 Relating to Conflicts of Interest in Securitization | December 6, 2023

Final Rule:

• Securities Act Rule 192 – Conflicts of interest relating to certain securitizations | May 10, 2024

Proposed Rule:

• Rule 192 – King & Spalding | February 15, 2023

Proposed Rule:

• SEC Re-Proposes Conflict of Interest Rule for Asset-Backed Securities  | January 31, 2023

• Significant Concerns About Credit Risk Transfers (CRTs) Under SEC Proposed Rule 192 | February 27, 2023

• Conflicts of Interest in Asset-Backed Securitization: An Analysis of Proposed Rule 192 | October 25, 2023

Final Rule:

• Conflict Resolution: The SEC Adopts Final Rule 192 (Conflicts of Interest in Securitization Transactions) | December 5, 2023

Proposed Rule:

• Everything Old Is New Again: SEC Re-Proposes Securitization Conflicts of Interest Rule | January 2023

Final Rule:

• SEC Finalizes Dodd-Frank Rule to Address ABS Conflicts of Interest, Asset Securitization Report | November 30, 2023

• SEC Conflict Rules Add Compliance Twist, Asset-Backed Alert | December 1, 2023

• SEC to Explain Conflict Rules, Asset-Backed Alert | February 16, 2024

Proposed Rule:

• US SEC re-proposes rule to prohibit conflicts of interest in certain securitizations | February 2023

• Rule 192 – US conflicts rule may hit UK and European securitisations and repackagings | March 2023

• Securitization Insight Ep 45: SEC’s Conflict of Interest Rule | July 12, 2023

Final Rule:

• Securitization Insight Ep 58: The SEC’s Conflict of Interest Rule | April 9, 2024

Final Rule:

• SEC Adopts Final Rule to Prohibit Conflicts of Interest in Certain Securitizations | December 15, 2023

Proposed Rule:

• Feeling conflicted: SEC Rule 192 and you – A&O Shearman | March 14, 2023

Final Rule:

• SEC Rule 192: Prohibition against conflicts of interest in certain securitizations – A&O Shearman | Dec 11, 2023