3235-AI17 200904 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Amendments to Form ADV Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 275.204-2 17 CFR 275.204-3 17 CFR 275.206(4)-4 17 CFR 279.1 15 USC 80b-4, 80b-6(4), 80bll(a), 80b-3(c)(1) 15 USC 77s(a) 15 USC 78(a), 78bbb(e)(2) 15 USC 77sss(a) 15 USC 78(s)-37(a) No NPRM 04/17/2000 65 FR 20524 NPRM Comment Period End 06/03/2000 Second NPRM 03/14/2008 73 FR 13958 Second NPRM Comment Period End 05/16/2008 Final Action 11/00/2009 Yes Businesses None No www.sec.gov/rules/proposed/2008/ia-2711.pdf Yes No 3235-AD21 Related to Vivien Liu 3235 Securities and Exchange Commission SEC 202 551-6728 liuy@sec.gov 100 F Street NE, Washington DC 20549