3235-AL18 201210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Amendment to Rule Filing Requirement for Dually Registered Clearing Agencies Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage No No 17 CFR 240.19b-4(f)(4)(ii) 17 CFR 249.819 (Does not appear in the CFR) 15 USC 78s(b)(3)(A)(iii) Statutory Other 07/16/2011 see below Absent Commission action, certain provisions under section 763(b) of the Dodd-Frank Act would deem some clearing agencies that process non-security products to be registered with the SEC as of July 16, 2011. No Interim Final Rule 07/13/2011 76 FR 41056 Interim Final Rule Effective 07/15/2011 Interim Final Rule Comment Period End 09/15/2011 Next Action 12/00/2012 No None No www.sec.gov/rules/interim/2011/34-64832.pdf No No Raymond Lombardo 3235 Securities and Exchange Commission SEC 202 551-5755 lombardor@sec.gov 100 F Street NE, Washington DC 20549