3235-AL17 201110 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Exemptions for Security-Based Swaps The Commission adopted interim final rules, providing exemptions under the Securities Act, Exchange Act, and Trust Indenture Act for those security-based swaps that under current law are security-based swap agreements and will be defined as "securities" under the Securities Act and the Exchange Act as of July 16, 2011, due solely to the provisions of title VII of the Dodd-Frank Act. Substantive, Nonsignificant First Time Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 230.240 17 CFR 240.12a-11 17 CFR 240.12h-1 17 CFR 260.4d-12 15 USC 77s 15 USC 77aa 15 USC 78l(h) 15 USC 78w(a) 15 USC 78mm 15 USC 78ddd(d) No Interim Final Rule 07/11/2011 76 FR 40605 Interim Final Rule Effective 07/11/2011 Interim Final Rule Comment Period End 08/15/2011 Final Action 12/00/2011 Yes Businesses None www.sec.gov/rules/proposed/33-922.pdf Yes No 3235-AK65 Related to 3235-AL14 Related to Amy Starr 3235 Securities and Exchange Commission SEC 202 551-3860 100 F Street NE, Washington DC 20549