3235-AL11 201210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Proposed Amendment to Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders The Commission proposed amendments to Rule 17Ad-17 to implement the mandates of section 929W of the Dodd-Frank Act. That section requires (1) adding brokers and dealers to entities that must conduct database searches for lost security holders; and (2) requiring that "paying agents," which are persons that accept payments from the issuer of a security for distribution to a security holder, send written notification to a security holder who has been sent a check that has not been negotiated no later than 7 months after the check was sent. Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.17A-17 17 CFR 249.617 15 USC 78q(g) PL 11-203, sec 939A Statutory Final 07/21/2011 Dodd-Frank Act requires final rules within a year of enactment. No NPRM 03/25/2011 76 FR 16707 NPRM Comment Period End 05/09/2011 Final Action 12/00/2012 No Undetermined www.sec.gov/rules/proposed/2011/34-64099.pdf No No Thomas Etter C. Jr. 3235 Securities and Exchange Commission SEC 202 551-5713 ettert@sec.gov 100 F Street NE, Washington DC 20549