Division of Trading and Markets

3235-AL85 202210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Electronic Filing of Broker-Dealer, Clearing Agency, and Self-Regulatory Organization Security-Based Swap Entity Reports

The Division is considering recommending that the Commission propose rule amendments that would require the electronic submission to the Commission of certain filings by broker-dealers, security-based swap entities, self-regulatory organizations and clearing agencies. Most of these reports are currently filed with the Commission in paper form. Merged with 3235-AM09.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 202.3, 232.100, 232.101 and 232.201 17 CFR 240.3a71-3, 240.6a-1 and 240.6a-2 17 CFR 240.6a-3, 240.6a-4 and 240.15Aa-1 17 CFR 240.15Aa-2, 240.15Aj-1 and 240.15Fi-3 17 CFR 240.15Fk-1, 240.17a-5 and 240.17a-12 17 CFR 240.17a-19 and 240.17a-22 17 CFR 240.17h-2T, 240.17Ab2-1 and 240.18a-7 17 CFR 240.19b-4, 240.19b-7 and 240.24b-2 17 CFR 249.1, 249.10, 249.801 and 249.200 17 CFR 249.328T, 249.617 and 249.617 17 CFR 249.617, 249.617, 249.635 and 249.801 17 CFR 249.819 and 249b.200 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a) 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o-3, 78o-8, 78q, 78q-1, 78s, 78w, 78dd and 78ll 15 U.S.C. 77rrr 15 U.S.C. 80a-8 15 U.S.C. 80a-29 15 U.S.C. 80a-30 15 U.S.C. 80a-37 Pub. L. 111-203, sec. 761(b) No NPRM 04/00/2023 Undetermined Undetermined Undetermined No No Raymond Lombardo Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5755 lombardor@sec.gov 100 F Street NE, Washington DC 20549