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.
Document Name |
---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Approved without change |
Extension without change of a currently approved collection | 2022-09-20 | |
Approved without change |
Extension without change of a currently approved collection | 2022-04-14 | |
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