3235-AL05 201410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Not Yet Determined PL 111-203, sec 764(a) Statutory Final 07/21/2011 The Dodd Frank Act requires adoption of final rules a year after enactment. No NPRM 10/24/2011 76 FR 65784 NPRM Comment Period End 12/19/2011 Second NPRM 05/23/2013 78 FR 30968 Second NPRM Comment Period End 08/21/2013 NPRM Comment Period Reopened 05/23/2013 78 FR 30800 NPRM Comment Period End 07/22/2013 Final Action 03/00/2015 Undetermined Undetermined Undetermined www.sec.gov/rules/proposed/2011/34-65543.pdf No No 3235-AL25 Related to Joanne Rutkowski 3235 Securities and Exchange Commission SEC 202 551-5518 rutkowskij@sec.gov 100 F Street NE, Washington DC 20549