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Applications and Notices 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 Swap Transactions (Rule of Practice 194)

May 10, 2022

Rule of Practice 194 provides a process for a registered security-based swap dealer or major security-based swap participant to apply to the Commission for relief from the statutory disqualification prohibition found in Exchange Act Section 15F(b)(6) or, where certain conditions are met, to file a notice with the Commission in lieu of an application.

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 notices filed with the Commission are posted publicly below.

Staff Information for Filers

The following staff information is being provided to assist potential filers of applications and notices under Rule 194. Filers are encouraged to contact the staff at by telephone at 202-551-5777 or by email at with any questions regarding the filing process.

Orders Granting or Denying Rule 194 Applications and Rule 194 Notices

Date Order/Notice SBS Entity

Jan. 3, 2022


Citigroup Global Markets Europe AG

Oct. 29, 2021


Citibank, N.A.

Oct. 29, 2021


Citigroup Global Markets Limited

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