3235-AL03 201304 Update to the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Treatment of Asset-Backed Issuers Under the Investment Company Act Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 270.3a-7 PL 111-203, sec 939 PL 111-203, sec 939A Statutory Final 07/21/2011 Dodd Frank Act requires final rules within one year of enactment. No ANPRM 09/07/2011 76 FR 55308 ANPRM Comment Period End 11/07/2011 NPRM 12/00/2013 Undetermined Undetermined Undetermined www.sec.gov/rules/concept/2011/ic-29779.pdf No No 3235-AK19 Related to Rochelle Kauffman Plesset 3235 Securities and Exchange Commission SEC 202 551-6840 plessetr@sec.gov 100 F Street NE, Washington DC 20549