Prohibition Against Conflicts of Interest in Certain Securitizations

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Comment
A: 7
B: 126
C: 57
D: 6

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 8, 2023 meeting with representatives of the Securities Industry and Financial Markets Association ("SIFMA")
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 9, 2023 meeting with representatives of the Structured Finance Assocation ("SFA")
Public Comment U.S. Representatives Wiley Nickel, Bryan Steil, Josh Gottheimer, Blaine Luetkemeyer, Jim Himes, Michael V. Lawler, Juan Vargas, Scott Fitzgerald, Vicente Gonzalez, Young Kim, Ritchie Torres, Zach Nunn, Gregory W. Meeks, Andy Barr, Steven Horsford, Andrew R. Garbarino, Brittany Pettersen, Ann Wagner, David Scott, Bill Huizenga, Brad Sherman (Ranking Member, Subcommittee on Capital Markets), Byron Donalds, Bill Foster, Emanuel Cleaver, II, and Sean Casten
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a October 30, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a October 25, 2023 meeting with representatives of TIAA/Nuveen
Public Comment Meredith Coffey and Tess Virmani, LSTA
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding an October 27, 2023 meeting with the International Association of Credit Portfolio Managers
Public Comment Arch Mortgage Insurance Company, Enact Mortgage Insurance Corporation, Essent Guaranty, Inc., Mortgage Guaranty Insurance Corporation, National Mortgage Insurance Corporation and Radian Guaranty Inc.
Meeting with SEC Officials Memorandum from the Office Of Commissioner Hester M. Peirce regarding a September 18, 2023 meeting with representatives of the Commercial Real Estate Finance Counsel
Meeting with SEC Officials Memorandum from the Office Commissioner Mark T. Uyeda regarding a September 15, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 1, 2023 meeting with representatives of SFA
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an August 30, 2023 meeting with SIFMA
Meeting with SEC Officials Memorandum from the Office Of the Chair regarding a August 22, 2023 meeting with representatives of SIFMA
Public Comment Nathan B.
Public Comment Brandon Smith
Public Comment Dave Cazza
Public Comment Jake Robinson
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding an August 14, 2023 meeting with the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a August 3, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office Of the Chair regarding a July 25, 2023 meeting with Congressman Brad Sherman and his staff.
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a July 24, 2023 meeting with representatives from USMI
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a July 13, 2023 meeting with representatives of the European Commission
Meeting with SEC Officials Memorandum from the Division of Corporation Finance regarding a July 11, 2023 meeting with representatives of the American Bar Association
Public Comment Michael Bright, CEO, Structured Finance Association
Public Comment Brad Sherman, Member of Congress, Ranking member, Subcommittee on Capital Markets
Public Comment Lisa Pendergast, Executive Director, CRE Financial Council
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 5, 2023 meeting with Structured Finance Association
Public Comment Chris Killian, Managing Director, Securitization and Credit, Lindsey Weber Keljo, Esq., Head - Asset Management Group, Securities Industry and Financial Markets Association, and Jack Stump, Assistant Vice President, Regulatory Affairs, Bank Policy Institute
Public Comment Americans for Financial Reform Education Fund

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-01-23
Release Number
33-11151
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