Securities and Exchange Commission 2023 – Federal Register Recent Federal Regulation Documents

The Securities and Exchange Commission (``Commission'' or ``SEC'') is proposing amendments to the Commission's regulations under the Privacy Act of 1974, as amended (``Privacy Act''). The proposed amendments would revise the Commission's regulations under the Privacy Act to clarify, update, and streamline the language of several procedural provisions.

The Securities and Exchange Commission (``SEC'' or ``Commission'') is reissuing and revising a proposal that was initially published in September 2011 that would implement a provision under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act'') prohibiting an underwriter, placement agent, initial purchaser, or sponsor of an asset-backed security (including a synthetic asset-backed security), or any affiliate or subsidiary of any such entity, from engaging in any transaction that would involve or result in certain material conflicts of interest.