3235-AK56 201304 Update to the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Broker-Dealer Reports Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.17a-5 15 USC 78q No NPRM 06/27/2011 76 FR 37572 NPRM Comment Period End 08/26/2011 Final Action 07/00/2013 Yes Businesses Undetermined Undetermined www.sec.gov/rules/proposed/2011/34-64676.pdf Yes No Kimberly Chehardy 3235 Securities and Exchange Commission SEC 202 551-5791 chehardyk@sec.gov 10 F Street NE, Washington DC 20549