3235-AJ72 201010 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 240.15c3-1 17 CFR 240.15c3-1d 17 CFR 240.17a-11 15 USC 78o 15 USC 78q 15 USC 78w(a) No NPRM 10/13/2006 71 FR 60636 NPRM Comment Period End 11/23/2006 Second NPRM 06/00/2011 No None No www.sec.gov/rules/proposed/34-54575.pdf No No 3038-AB64 Related to Randall Roy 3235 Securities and Exchange Commission SEC 202 551-5522 royr@sec.gov 100 F Street NE, Washington DC 20549