3235-AL10 201410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Business Conduct Standards for 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 Not Yet Determined Statutory Final 07/21/2011 The Dodd Frank Act requires final rulemaking within one year of enactment. No NPRM 07/18/2011 76 FR 42396 NPRM Comment Period End 08/29/2011 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/2011/34-64766.pdf No No Joanne Rutkowski 3235 Securities and Exchange Commission SEC 202 551-5518 rutkowskij@sec.gov 100 F Street NE, Washington DC 20549