OMB control number
Rule of Practice 194
OMB 3235-0733 ยท SEC.
OMB 3235-0733
Rule of Practice 194 (17 CFR 201.194) 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 2029-01-31 and is listed under ICR 202507-3235-004.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20250919_3235-0733_2025-18119_90 FR 45297_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20250919_3235-0733_2025-18119_90 FR 45297_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| Rule 194 Supporting Statement.pdf | Supporting Statement A |
| Rule 194 Supporting Statement.pdf | Supporting Statement A |
| 20250716_3235-0733_2025-13312_90 FR 32050_60-Day Collection Notice.pdf | Supplementary Document |
| 20250716_3235-0733_2025-13312_90 FR 32050_60-Day Collection Notice.pdf | Supplementary Document |
 Notices |
Information collection |
| Applications |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202507-3235-004 | Extension without change of a currently approved collection | 2025-09-19 | ||
| 202206-3235-013 | Extension without change of a currently approved collection | 2022-09-20 | Approved without change | |
| 202204-3235-002 | Extension without change of a currently approved collection | 2022-04-14 | Approved without change | |
| 201812-3235-008 | New collection (Request for a new OMB Control Number) | 2019-02-19 | Approved without change | |
| 201510-3235-015 | New collection (Request for a new OMB Control Number) | 2015-10-23 | Comment filed on proposed rule |
OMB Details
Applications
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight