3235-AK97 201304 Update to the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Not Yet Determined 15 USC 77c(a) 15 USC 77d 15 USC 77s 15 USC 77z-3 Statutory Final 07/21/2011 The Dodd-Frank Act requires final rules within a year of enactment. No NPRM 06/01/2011 76 FR 31518 NPRM Comment Period End 07/14/2011 Final Action 07/00/2013 Yes Businesses Undetermined Undetermined www.sec.gov/rules/proposed/2011/33-9211.pdf Yes No Johanna Losert Vega 3235 Securities and Exchange Commission SEC 202 551-3460 losertj@sec.gov 100 F Street NE, Washington DC 20549