3235-AJ85 201010 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Amendments to Financial Responsibility Rules for Broker-Dealers Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.15c3-1 17 CFR 240.15c3-1a 17 CFR 240.15c3-2 17 CFR 240.15c3-3 17 CFR 240.15c3-3a 17 CFR 240.17a-3 17 CFR 240.17a-4 17 CFR 240.17a-11 15 USC 78o 15 USC 78q 15 USC 78w 15 USC 78mm No NPRM 03/19/2007 72 FR 12862 NPRM Comment Period End 05/18/2007 NPRM Comment Period Extended 05/23/2007 72 FR 28908 Comment Period End 06/12/2007 Final Action 12/00/2010 Undetermined Undetermined No www.sec.gov/rules/proposed/2007/34-55431.pdf No No Randall Roy 3235 Securities and Exchange Commission SEC 202 551-5522 royr@sec.gov 100 F Street NE, Washington DC 20549