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.
Approved without change
|New collection (Request for a new OMB Control Number)||2019-02-19|
Comment filed on proposed rule
|New collection (Request for a new OMB Control Number)||2015-10-23|
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight