3235-AJ96 200904 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Temporary Rule Regarding Principal Trades With Certain Advisory Clients Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage No No 17 CFR 275.206(3) 17 CFR 275.206(3)-3T 15 USC 80b-6a 15 USC 80b-11(a) No Interim Final Rule 09/28/2007 72 FR 55022 Interim Final Rule Effective 09/30/2007 Interim Final Rule Comment Period End 11/30/2007 NPRM 06/00/2009 Yes Businesses None www.sec.gov/rules/final/2007/ia-2653fr.pdf Yes No Matthew Goldin 3235 Securities and Exchange Commission SEC 202 551-6726 202 772-9284 goldinm@sec.gov 100 F Street NE, Washington DC 20549