3235-AK53 201010 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Risk Management Controls for Brokers or Dealers With Market Access Info./Admin./Other Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.15c3-5 15 USC 78b 15 USC 78c(b) 15 USC 78k-1 15 USC 78o 15 USC 78q(a) and (b) 15 USC 78w(a) No NPRM 01/26/2010 75 FR 4007 NPRM Comment Period End 03/29/2010 Final Action 11/12/2010 75 FR 69792 Final Action Effective 01/14/2011 Undetermined None www.sec.gov/rules/final/2010/34-63241.pdf No No Theodore Venuti 3235 Securities and Exchange Commission SEC 202 551-5658 202 772-9274 venutit@sec.gov 100 F Street NE, Washington DC 20549