Conflicts of Interest

New SEC rule proposed: ABS proposal aims at conflicts

It’s been 13 years in the making but the SEC has taken a step toward promulgating a Dodd-Frank era rule that would seek to prevent advisers and others from selling asset-backed securities (ABS) and then trying to profit by betting against what they just sold to their investors

-

To read this article, you need to sign in.

Sign In

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.

Register Now