3235-AK17 201010 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC References to Ratings of Nationally Recognized Statistical Rating Organizations Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.3a-1 17 CFR 240.10b-10 17 CFR 240.15c3-1 17 CFR 240.15c3-1e 17 CFR 240.15c3-1f 17 CFR 240.15c3-1g 17 CFR 240.15c3-3 17 CFR 242.101 and 102 17 CFR 242.300 and 301 15 USC 78c 15 USC 78j 15 USC 78o 15 USC 78q 15 USC 78w 15 USC 78dd 15 USC 78mm No NPRM 07/11/2008 73 FR 40088 NPRM Comment Period End 09/05/2008 Final Rule 10/09/2009 74 FR 52358 NPRM Comment Period Reopened 10/09/2009 74 FR 52374 Final Rule Effective 11/12/2009 NPRM Comment Period End 12/08/2009 Next Action 07/00/2011 No None No www.sec.gov/rules/proposed/2009/33-9069.pdf No No 3235-AK14 Related to 3235-AK18 Related to 3235-AK19 Related to Marlon Paz 3235 Securities and Exchange Commission SEC 202 551-5756 703 813-3297 pazm@sec.gov 100 F Street NE, Washington DC 20549