federal_register: 2011-24404

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2011-24404 Prohibition Against Conflicts of Interest in Certain Securitizations Proposed Rule The Securities and Exchange Commission ("Commission") is proposing for comment a new rule under the Securities Act of 1933 ("Securities Act") to implement the prohibition under Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act") on material conflicts of interest in connection with certain securitizations. Proposed Rule 127B under the Securities Act would prohibit certain persons who create and distribute an asset- backed security, including a synthetic asset-backed security, from engaging in transactions, within one year after the date of the first closing of the sale of the asset-backed security, that would involve or result in a material conflict of interest with respect to any investor in the asset-backed security. The proposed rule also would provide exceptions from this prohibition for certain risk-mitigating hedging activities, liquidity commitments, and bona fide market-making. 2011-09-28 2011 9 https://www.federalregister.gov/documents/2011/09/28/2011-24404/prohibition-against-conflicts-of-interest-in-certain-securitizations https://www.govinfo.gov/content/pkg/FR-2011-09-28/pdf/2011-24404.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission") is proposing for comment a new rule under the Securities Act of 1933 ("Securities Act") to implement the prohibition under Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection...  

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