3235-AJ14 200904 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Rule 15c-101: Schedule 15D Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 240.15c2-2 17 CFR 240.15c2-3 17 CFR 240.10b-10 15 USC 78j 15 USC 78k 15 USC 78o 15 USC 78q 15 USC 78w(a) 15 USC 78mm No NPRM 02/10/2004 69 FR 6438 NPRM Comment Period End 04/12/2004 NPRM Comment Period Extended 03/04/2005 70 FR 10521 NPRM Comment Period End 04/04/2005 Second NPRM 12/00/2009 Yes Businesses None No No www.sec.gov/rules/proposed/33-8544.htm Yes No 3235-AJ11 Related to 3235-AJ12 Related to 3235-AJ13 Related to Dawn Jessen 3235 Securities and Exchange Commission SEC 202 551-5588 202 772-9270 jessend@sec.gov 100 F Street NE, Washington DC 20549