3235-AL13 201210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Clearing Agency Standards Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.17Ad-22 PL 111-203, sec 763 15 USC 78q-1 Statutory Final 07/16/2011 The Dodd-Frank Act requires adoption of rules within 360 days of enactment. No NPRM 03/16/2011 76 FR 14472 NPRM Comment Period End 04/29/2011 Final Action 11/02/2012 77 FR 66220 Final Action Effective 01/02/2013 Final Action 11/00/2013 No Undetermined No www.sec.gov/rules/final/2012/34-68080.pdf No No Dawn Jessen 3235 Securities and Exchange Commission SEC 202 551-5588 202 772-9270 jessend@sec.gov 100 F Street NE, Washington DC 20549