3235-AK15 200904 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Exemption of Certain Foreign Brokers or Dealers Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.15a-6 15 USC 78c 15 USC 78j 15 USC 78o 15 USC 78q 15 USC 78w 15 USC 78dd 15 USC 78mm No NPRM 07/08/2008 73 FR 29182 NPRM Comment Period End 09/08/2008 Final Action 12/00/2009 No Undetermined www.sec.gov/rules/proposed/2008/34-58047.pdf No No Max Welsh 3235 Securities and Exchange Commission SEC 202 551-5576 202 772-9270 welshm@sec.gov 100 F Street NE, Washington DC 20549