Notice
19 Sep 2025
security-based swaps, securities and exchange commission, statutory disqualification, compliance, financial regulation
📄Compliance Requirements Under Rule 194 for SBS Entities
The SEC announces a request for OMB review concerning Rule 194, which outlines processes for security-based swap dealers and major participants involving statutorily disqualified individuals. The notice specifies information collection requirements, outlines application procedures, and discusses the expected burden on SBS entities involved in regulatory compliance.
Learn More