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Mar 1, 2024 · This webpage provides further staff information for the filing of Rule 194 applications and notices. Commission orders granting or denying Rule 194 applications and Rule 194 …
Dec 19, 2018 · Paragraph (g) of Rule of Practice 194, which provides for notice to the applicant in cases where the Commission staff anticipates making an adverse recommendation to the …
Jul 19, 2016 · In September 2015, the SEC requested comments on the proposed amendments. In response to the proposal, it received 13 comment letters that generally supported efforts to …
Statement on Rule 194, Applications By Security Major Security Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security Based …
Jul 16, 2025 · Rule of Practice 194 specifies the process for obtaining relief from the statutory prohibition in Exchange Act Section 15F (b) (6), including by setting forth the required showing, …
How to file Rule 194 Applications or Notices in Lieu of Application with the Commission.
Jul 8, 2016 · ACTION: Final rule. SUMMARY: The Securities and Exchange Commission (“Commission”) is adopting amendments to its Rules of Practice. These changes concern, …
Jul 16, 2025 · information for Commission Rule of Practice 194, (17 CFR 240.194), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
As amended by Release No. 34-84858: Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or …
Dec 19, 2018 · Washington, D.C.-- (Newsfile Corp. - December 19, 2018) - The Securities and Exchange Commission today announced that it has voted to adopt Rule of Practice 194.
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