Rule of Practice 194

OMB 3235-0733

Rule of Practice 194 provides a process for a registered security-based swap dealer or major security-based swap participant to make an application to the Commission for an order permitting an associated person that is a natural person who is subject to a statutory disqualification to effect or be involved in effecting security-based swaps on behalf of the security-based swap dealer or major security-based swap participant.

The latest form for Rule of Practice 194 expires 2022-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0733.pdf Supplementary Document
3235-0733.pdf Supplementary Document
DGL REVISED 2022 Rule 194 Supporting Statement (06.22.2022).pdf Supporting Statement A
TM Emergency Request Memo 3235-0733 (Rule 194) FINAL (2) dlb.pdf Supplementary Document
Notices
Applications

All Historical Document Collections

202206-3235-013 Approved without change	Extension without change of a currently approved collection	2022-09-20
202204-3235-002 Approved without change	Extension without change of a currently approved collection	2022-04-14
201812-3235-008 Approved without change	New collection (Request for a new OMB Control Number)	2019-02-19
201510-3235-015 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2015-10-23

OMB Details

Applications

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight