Rule of Practice 194

OMB 3235-0733

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.

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Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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