3235-AK74 201210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies; Security-Based Swap Execution Facilities, and National Exchanges The Commission proposed regulations to impose ownership and voting limits and governance arrangements applicable to security-based swap execution facilities, and security-based swap exchanges to mitigate potential conflicts of interest that could exist at those entities. Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 242 PL 111-203 sec 765 PL 111-203 sec 763 15 USC 78c 15 USC 78f 15 USC 78k-1 15 USC 78q-1 15 USC 78w(a) Statutory Final 01/18/2011 PL 111-203, sec 765. Section 765 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires the Commission to adopt rules with respect to security-based swap execution facilities with No NPRM 10/25/2010 75 FR 65882 NPRM Comment Period End 11/26/2010 NPRM Comment Period Extended 03/08/2011 76 FR 12654 NPRM Comment Period Extended End 04/29/2011 Final Action 06/00/2013 No No None www.sec.gov./rules/proposed/2011/34-64018.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