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SEC moves against conflicts of interest in securitization transactions

SEC Commissioner Jaime Lizárraga
SEC Commissioner Jaime Lizárraga. Photo: Tasos Katopodis/Getty Images

Julie DiMauro

4 min read
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Regulator adopts new rule to address conflicts of interest in the asset-backed securities market.

The SEC has adopted Securities Act Rule 192 to implement a provision of the Dodd-Frank Act. The rule is intended to prevent the sale of asset-backed securities (ABS) that are tainted by material conflicts of interest.

It prohibits a securitization participant, for a specified period of time, from engaging, directly or

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