3235-AL28 201210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Temporary Rule for Principal Trades With Certain Advisory Clients Substantive, Nonsignificant First Time Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 275.206(3)-3 15 USC 80b-6a 15 USC 80b-11(a) No NPRM 10/12/2012 77 FR 62185 NPRM Comment Period End 11/13/2012 Final Action 12/00/2012 Undetermined None No www.sec.gov/rules/proposed/2012/ia-3483.pdf No No Holly Hunter-Ceci 3235 Securities and Exchange Commission SEC 202 551-6825 hunter-cecih@sec.gov 100 F Street NE, Washington DC 20549