3235-AL45 201310 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No Not Yet Determined Not Yet Determined No NPRM 12/00/2013 Undetermined Undetermined Undetermined No No 3235-AL12 Related to Michael Coe 3235 Securities and Exchange Commission SEC 202 551-4875 coem@sec.gov 100 F Street NE, Washington DC 20549