federal_register: 2019-02347
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts | regulation_id_numbers |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2019-02347 | Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps | Rule | Pursuant to Section 15F(b)(6) of the Securities Exchange Act of 1934 ("Exchange Act"), as added by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd- Frank Act"), the Securities and Exchange Commission ("Commission") is adopting Rule of Practice 194. Rule of Practice 194 provides a process for a registered security-based swap dealer or major security- based swap participant (collectively, "SBS Entity") 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 SBS Entity. Rule of Practice 194 also provides an exclusion for an SBS Entity from the prohibition in Exchange Act Section 15F(b)(6) with respect to associated persons that are not natural persons. Finally, Rule of Practice 194 provides that, subject to certain conditions, an SBS Entity may permit 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 its behalf, without making an application pursuant to the rule, where the Commission, the Commodity Futures Trading Commission ("CFTC"), a self-regulatory organization ("SRO"), or a registered futures association has granted a prior application or otherwise granted relief from the statutory disqualification with respect to that associated person. | 2019-02-19 | 2019 | 2 | https://www.federalregister.gov/documents/2019/02/19/2019-02347/applications-by-security-based-swap-dealers-or-major-security-based-swap-participants-for | https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02347.pdf | Securities and Exchange Commission | 466 | Pursuant to Section 15F(b)(6) of the Securities Exchange Act of 1934 ("Exchange Act"), as added by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd- Frank Act"), the Securities and Exchange Commission... | 3235-AL76 |