[Federal Register Volume 77, Number 77 (Friday, April 20, 2012)]
[Notices]
[Page 23711]
[FR Doc No: 2012-9564]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP12-600-000.
    Applicants: El Paso Natural Gas Company.
    Description: Letter Agreement Update Filing to be effective 5/11/
2012.
    Filed Date: 4/10/12.
    Accession Number: 20120410-5092.
    Comments Due: 5 p.m. ET 4/23/12.

    Docket Numbers: RP12-601-000.
    Applicants: Iroquois Gas Transmission System, L.P.
    Description: 04/10/12 Negotiated Rates--Freepoint Commodities LLC
(RTS) to be effective 4/10/2012.
    Filed Date: 4/10/12.
    Accession Number: 20120410-5128.
    Comments Due: 5 p.m. ET 4/23/12.

    Docket Numbers: RP12-602-000.
    Applicants: Horizon Pipeline Company, L.L.C.
    Description: Removal of Expired Agreement--Ameren to be effective
5/11/2012.
    Filed Date: 4/10/12.
    Accession Number: 20120410-5142.
    Comments Due: 5 p.m. ET 4/23/12.

    Docket Numbers: RP12-603-000.
    Applicants: Great Lakes Gas Transmission Limited Partnership.
    Description: Update Pricing Penalties and FSA to be effective 5/14/
2012.
    Filed Date: 4/11/12.
    Accession Number: 20120411-5233.
    Comments Due: 5 p.m. ET 4/23/12.

    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.

Filings in Existing Proceedings

    Docket Numbers: RP12-586-001.
    Applicants: Gulf South Pipeline Company, LP.
    Description: Amendment to filing in Docket No. RP12-586 to be
effective 4/1/2012.
    Filed Date: 4/10/12.
    Accession Number: 20120410-5073.
    Comments Due: 5 p.m. ET 4/23/12.

    Any person desiring to protest in any of the above proceedings must
file in accordance with Rule 211 of the Commission's Regulations (18
CFR 385.211) on or before 5 p.m. Eastern time on the specified comment
date.
    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, and service can be found at:
http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other
information, call<PHONE_NUMBER> (toll free). For TTY, call (202) 502-
8659.

    Dated: April 12, 2012.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2012-9564 Filed 4-19-12; 8:45 am]
BILLING CODE 6717-01-P


John Silvasi/RTP/USEPA/US
07/20/2006 01:43 PM	To
<EMAIL_ADDRESS>cc

bcc

Subject
schedule for reconsideration notice on phase 2 8-hr O3 NAAQS
implementation rule

		Per our discussion.  The schedule is influenced by the fact that the court
stayed litigation on the 3 reconsideration issues until 12/15/06.

		Notice of Proposed Rulemaking
		--signature:  8/7/06
		--publication:  8/22/06

		--hearing 9/18/06
		--close of comment period 10/15/06

		Notice of Final Rulemaking
		--signature: 11/15/06
		--publication:  12/1/06

		John J. Silvasi
Environmental Engineer
State and Local Programs Group (C539-02)
Office of Air Quality Planning and Standards
U.S. Environmental Protection Agency
Research Triangle Park, NC 27711
919-541-5666 (v);<PHONE_NUMBER> (fax)
<EMAIL_ADDRESS>
"It is EPA’s goal to protect the environment for everyone.  You can help
by reporting potential environmental violations.  To do so, visit EPA’s
website at http://www.epa.gov/compliance/complaints/index.html "


[Federal Register Volume 78, Number 100 (Thursday, May 23, 2013)]
[Proposed Rules]
[Pages 30795-30797]
[FR Doc No: 2013-12260]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2013-0262; Directorate Identifier 2013-NE-13-AD]
RIN 2120-AA64

Airworthiness Directives; Hamilton Standard Division and Hamilton
Sundstrand Corporation Propellers

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

-----------------------------------------------------------------------

SUMMARY: We propose to adopt a new airworthiness directive (AD) for
Hamilton Standard Division model 6/5500/F and 24PF and Hamilton
Sundstrand Corporation model 14RF, 14SF, 247F, and 568F series
propellers. This proposed AD was prompted by the amount of corrosion
detected during major inspections (MIs). This proposed AD would require
incorporating inspections, based on a calendar time, into the propeller
maintenance schedule. We are proposing this AD to prevent corrosion
that could result in propeller failure and loss of airplane control.

DATES: We must receive comments on this proposed AD by July 22, 2013.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For service information identified in this proposed AD, contact
Hamilton Sundstrand Corporation, One Hamilton Road, Mail Stop 1A-3-C63,
Windsor Locks, CT 06096-1010; or Hamilton Standard Division, One
Hamilton Road, United Technologies Corporation, Mail Stop 1A-3-C63,
Windsor Locks, CT 06096-1010; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>;
email<EMAIL_ADDRESS>Internet: http://myhs.hamiltonsundstrand.com.
    You may view this service information at the FAA, Engine &
Propeller Directorate, 12 New England

Executive Park, Burlington, MA 01803. For information on the
availability of this material at the FAA, call<PHONE_NUMBER>.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this proposed AD, the regulatory
evaluation, any comments received, and other information. The street
address for the Docket Office (phone:<PHONE_NUMBER>) is in the ADDRESSES
section. Comments will be available in the AD docket shortly after
receipt.

FOR FURTHER INFORMATION CONTACT: Michael Schwetz, Aerospace Engineer,
Boston Aircraft Certification Office, FAA, 12 New England Executive
Park, Burlington, MA 01803; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>;
email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposal. Send your comments to an address listed
under the ADDRESSES section. Include ``Docket No. FAA-2013-0262;
Directorate Identifier 2013-NE-13-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD because of those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this proposed AD.

Discussion

    We received reports about increased corrosion detected during MIs
of Hamilton Standard Division model 6/5500/F and 24PF and Hamilton
Sundstrand Corporation model 14RF, 14SF, 247F, and 568F series
propellers. The propellers were found to accumulate fewer flight hours
per year as they aged. The longer time between MIs contributes to an
increased potential for corrosion to accumulate to critical limits.
Hamilton Sundstrand developed, and we approved, six Airworthiness
Limitations Sections (ALSs) of the applicable maintenance manuals to
date. Each ALS establishes the new compliance times for MIs of the
blades and hubs by adding a calendar time limit for the inspection.
This condition, if not corrected, could result in propeller failure and
loss of airplane control.

Relevant Service Information

    We reviewed the Hamilton Sundstrand ALS in Maintenance Manual
P5185, Revision 13, dated December 13, 2011; P5206, Revision 9, dated
February 22, 2013; P5186, Revision 12, dated January 20, 2012; P5207,
Revision 2, dated June 28, 2012; P5188, Revision 10, dated January 14,
2013; and P5189, Revision 8, dated March 26, 2013. The ALS in these
maintenance manuals lists the MIs for the associated propellers and
prescribe a seven-year calendar time limit interval for MI of propeller
blades and hubs.

FAA's Determination

    We are proposing this AD because we evaluated all the relevant
information and determined the unsafe condition described previously is
likely to exist or develop in other products of the same type design.

Proposed AD Requirements

    This proposed AD would require incorporating a seven-year calendar
time limit, between MIs of propeller blades and hubs, into the
propeller maintenance schedule, within 45 days after the effective date
of the AD.

Differences Between the Proposed AD and the Service Information

    The updated maintenance manuals require that an MI of the blades
and hubs be performed at the published flight hours or no later than
seven years since the date since installation (DSI). The DSI will begin
at initial installation after the most recent MI or initial
installation after production. This proposed AD would require that the
Hamilton Sunstrand propeller models, with an approved update to the
maintenance manual ALS, have 45 days after the effective date of the AD
to incorporate the seven-year calendar time limit. These models/manuals
are: 14RF-9/P5186, 14RF-21/P5189, 14SF-5/P5188, 14SF-7/P5185, 14SF-11E/
P5207, and 568F-1/P5206. This proposed AD would also require that the
Hamilton Sundstrand and Hamilton Standard propeller models, without
approved updates to the maintenance manual ALS, incorporate the seven-
year calendar time limit into the propeller maintenance schedule within
one year after the effective date of the AD. These models/manuals are:
Hamilton Standard 24PF/61-12-01 and 6/5500/F/P5190, and Hamilton
Sundstrand 14RF-19/P5199, 14RF-37/P5209, 14SF-11/P5196, 14SF-15/P5197,
14SF-23/P5197, 14SF-17/P5198, 14SF-19/P5198, 247F-1/P4202, 247F-1E/
P5204, 247F-3/P5205, 568F-1/P5214, 568F-5/P5203, and 568F-7/P5211.

Costs of Compliance

    We estimate that this proposed AD would affect about 1,044
propeller/hub combinations installed on airplanes of U.S. registry. We
also estimate that it would take about 160 hours per propeller to
perform one MI. The average labor rate is $85 per hour. Based on these
figures, we estimate the cost of the proposed AD on U.S. operators to
be $14,198,400.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed above, I certify this proposed
regulation:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979),
    (3) Will not affect intrastate aviation in Alaska to the extent
that it justifies making a regulatory distinction, and

    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):
Hamilton Standard Division and Hamilton Sundstrand Corporation:
Docket No. FAA-2013-0262; Directorate Identifier 2013-NE-13-AD.

(a) Comments Due Date

    We must receive comments by July 22, 2013.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Hamilton Standard Division 6/5500/F and 24PF
and Hamilton Sundstrand Corporation 14RF, 14SF, 247F, and 568F
series propellers.

(d) Unsafe Condition

    This AD was prompted by the amount of corrosion detected during
major inspections (MI). We are issuing this AD to prevent corrosion
that could result in propeller failure and loss of airplane control.

(e) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(f) MI for Blades and Hubs That Have an Updated Airworthiness
Limitations Section (ALS)

    For Hamilton Sundstrand Corporation propeller models 14RF-9,
14RF-21, 14SF-5, 14SF-7, 14SF-11E, and 568F-1, that have an approved
update to the ALS, within 45 days after the effective date of this
AD, perform an MI on the blades and hubs no later than seven years
since the date since installation (DSI). The DSI will begin at
initial installation after the most recent MI or initial
installation after production. Guidance on the inspections can be
found in the applicable Hamilton Sundstrand Corporation models/
manuals 14RF-9/P5186, revision 12, January 20, 2012; 14RF-21/P5189,
revision 8, March 26, 2013; 14SF-5/P5188, revision 10, dated January
14, 2013; 14SF-7/P5185, revision 13, dated December 13, 2011; 14SF-
11E/P5207, revision 2, dated June 28, 2012; and 568F-1/P5206
revision 9, dated February 22, 2013.

(g) MI for Blades and Hubs That Do Not Have an Updated ALS

    For Hamilton Standard Division model 6/5500/F and 24PF and
Hamilton Sundstrand Corporation model 14RF-19, 14RF-37, 14SF-11,
14SF-15, 14SF-23, 14SF-17, 14SF-19, 247F-1, 247F-1E, 247F-3, 568F-1,
568F-5, 568F-7 propellers, that do not have an approved update to
the ALS, within one year after the effective date of this AD,
perform an MI on the blades and hubs no later than seven years since
the DSI. The DSI will begin at initial installation after the most
recent MI or initial installation after production. Guidance on the
inspections can be found in the applicable models/manuals for
Hamilton Standard Division 6/5500/F/P5190 and 24PF/61-12-01, and
Hamilton Sundstrand Corporation 14RF-19/P5199, 14RF-37/P5209, 14SF-
11/P5196, 14SF-15/P5197, 14SF-23/P5197, 14SF-17/P5198, 14SF-19/
P5198, 247F-1/P4202, 247F-1E/P5204, 247F-3/P5205, 568F-1/P5214,
568F-5/P5203, and 568F-7/P5211 propellers.

(h) Alternative Methods of Compliance (AMOCs)

    The Manager, Boston Aircraft Certification Office, FAA, may
approve AMOCs for this AD. Use the procedures found in 14 CFR 39.19
to make your request.

(i) Related Information

    (1) For more information about this AD, contact Michael Schwetz,
Aerospace Engineer, Boston Aircraft Certification Office, FAA, 12
New England Executive Park, Burlington, MA 01803; phone: 781-238-
7761; fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>    (2) For service information identified in this AD, contact
Hamilton Sundstrand Corporation, One Hamilton Road, Mail Stop 1A-3-
C63, Windsor Locks, CT 06096-1010; or Hamilton Standard Division,
United Technologies Corporation, One Hamilton Road, Mail Stop 1A-3-
C63, Windsor Locks, CT 06096-1010; phone:<PHONE_NUMBER>; fax: 860-
660-0372; email<EMAIL_ADDRESS>Internet: http://myhs.hamiltonsundstrand.com.
    (3) You may view this service information at the FAA, Engine &
Propeller Directorate, 12 New England Executive Park, Burlington, MA
01803. For information on the availability of this material at the
FAA, call<PHONE_NUMBER>.

    Issued in Burlington, Massachusetts, on May 17, 2013.
Colleen M. D'Alessandro,
Assistant Manager, Engine & Propeller Directorate, Aircraft
Certification Service.
[FR Doc. 2013-12260 Filed 5-22-13; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 77, Number 29 (Monday, February 13, 2012)]
[Unknown Section]
[Pages 8082-8088]
[FR Doc No: 2012-1669]

Vol. 77

Monday,

No. 29

February 13, 2012

Part XXVI

Securities and Exchange Commission

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Semiannual Regulatory Agenda

Federal Register / Vol. 77, No. 29 / Monday, February 13, 2012 /
Unified Agenda

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Ch. II

[Release Nos. 33-9260, 34-65350, IA-3280, IC-29792, File No. S7-37-11]

Regulatory Flexibility Agenda

AGENCY: Securities and Exchange Commission.

ACTION: Semiannual regulatory agenda.

-----------------------------------------------------------------------

SUMMARY: The Securities and Exchange Commission is publishing an agenda
of its rulemaking actions pursuant to the Regulatory Flexibility Act
(RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sep. 19, 1980). Information in
the agenda was accurate on September 16, 2011, the day on which the
Commission's staff completed compilation of the data. To the extent
possible, rulemaking actions by the Commission since that date have
been reflected in the agenda. The Commission invites questions and
public comment on the agenda and on the individual agenda entries.
    The Commission is now printing in the Federal Register, along with
our preamble, only those agenda entries for which we have indicated
that preparation of a Regulatory Flexibility Act analysis is required.
    The Commission's complete RFA agenda will be available online at
www.reginfo.gov.

DATES: Comments should be received on or before December 30, 2011.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/other.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number S7-37-11 on the subject line; or
     Use the Federal eRulemaking Portal (http://www.regulations.gov). Follow the instructions for submitting comments.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-1090.

All submissions should refer to File No. S7-37-11. This file number
should be included on the subject line if e-mail is used. To help us
process and review your comments more efficiently, please use only one
method. The Commission will post all comments on the Commission's
Internet Web site (http://www.sec.gov/rules/other.shtml). Comments are
also available for Web site viewing and printing in the Commission's
Public Reference Room, 100 F Street NE., Washington, DC 20549, on
official business days between the hours of 10 a.m. and 3 p.m. All
comments received will be posted without change; we do not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: Anne Sullivan, Office of the General
Counsel,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The RFA requires each Federal agency, during
April and October of each year, to publish in the Federal Register an
agenda identifying rules that the agency expects to consider in the
next 12 months that are likely to have a significant economic impact on
a substantial number of small entities (5 U.S.C. 602(a)). The RFA
specifically provides that publication of the agenda does not preclude
an agency from considering or acting on any matter not included in the
agenda and that an agency is not required to consider or act on any
matter that is included in the agenda (5 U.S.C. 602(d)). Actions that
do not have an estimated date are placed in the long-term category; the
Commission may nevertheless act on items in that category within the
next 12 months. The agenda includes new entries, entries carried over
from prior publications, and rulemaking actions that have been
completed (or withdrawn) since publication of the last agenda.
    The following abbreviations for the acts administered by the
Commission are used in the agenda:

``Securities Act''-- Securities Act of 1933
``Exchange Act''-- Securities Exchange Act of 1934
``Investment Company Act''-- Investment Company Act of 1940
``Investment Advisers Act''-- Investment Advisers Act of 1940
``Dodd-Frank Act''-- Dodd-Frank Wall Street Reform and Consumer
Protection Act

    The Commission invites public comment on the agenda and on the
individual agenda entries.

    By the Commission.

    Dated: September 16, 2011.
Elizabeth M. Murphy,
Secretary.

          Division of Corporation Finance--Proposed Rule Stage
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
591.......................  Proxy Solicitation                 3235-AK28
                             Enhancements.
------------------------------------------------------------------------

            Division of Corporation Finance--Final Rule Stage
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
592.......................  Disqualification of Felons         3235-AK97
                             and Other ``Bad Actors''
                             From Rule 506 Offerings.
593.......................  Short-Term Borrowings.....         3235-AK72
594.......................  Conflict Minerals.........         3235-AK84
595.......................  Disclosure of Payments By          3235-AK85
                             Resource Extraction
                             Issuers.
596.......................  Listing Standards for              3235-AK95
                             Compensation Committees.
597.......................  Exemptions for Security-           3235-AL17
                             Based Swaps.
598.......................  Net Worth Standard for             3235-AK90
                             Accredited Investors.
------------------------------------------------------------------------

           Division of Corporation Finance--Completed Actions
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
599.......................  Voluntary Filers..........         3235-AK59
600.......................  Risk Disclosures..........         3235-AK58
------------------------------------------------------------------------

           Division of Investment Management--Final Rule Stage
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
601.......................  References to Credit               3235-AL02
                             Ratings in Certain
                             Investment Company Act
                             Rules and Forms.
------------------------------------------------------------------------

          Division of Investment Management--Completed Actions
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
602.......................  Rules Implementing                 3235-AK82
                             Amendments to the
                             Investment Advisers Act.
603.......................  Family Offices............         3235-AK66
------------------------------------------------------------------------

          Division of Trading and Markets--Proposed Rule Stage
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
604.......................  Publication or Submission          3235-AH40
                             of Quotations Without
                             Specified Information.
------------------------------------------------------------------------

            Division of Trading and Markets--Final Rule Stage
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
605.......................  Broker-Dealer Reports.....         3235-AK56
606.......................  Transitional Registration          3235-AK69
                             as a Municipal Advisor.
607.......................  Consolidated Audit Trail..         3235-AK51
608.......................  Removal of Certain                 3235-AL14
                             References to Credit
                             Ratings Under the
                             Securities Exchange Act
                             of 1934.
609.......................  Rules for Nationally               3235-AL15
                             Recognized Statistical
                             Rating Organizations.
------------------------------------------------------------------------

           Division of Trading and Markets--Completed Actions
------------------------------------------------------------------------
                                                           Regulation
       Sequence No.                    Title             Identifier No.
------------------------------------------------------------------------
610.......................  Confirmation of                    3235-AJ11
                             Transactions in Open-End
                             Management Investment
                             Company Shares, Unit
                             Investment Trust
                             Interests, and Municipal
                             Fund Securities Used for
                             Education Savings.
611.......................  Point-of-Sale Disclosure           3235-AJ12
                             of Purchases in Open-End
                             Management Investment
                             Company Shares, Unit
                             Investment Trust
                             Interests, and Municipal
                             Fund Securities Used for
                             Education Savings.
612.......................  Rule 15c-100: Schedule 15C         3235-AJ13
613.......................  Rule 15c-101: Schedule 15D         3235-AJ14
614.......................  Processing of                      3235-AH53
                             Reorganization Events,
                             Tender Offers, and
                             Exchange Offers.
615.......................  Proposed Rules for                 3235-AK14
                             Nationally Recognized
                             Statistical Rating
                             Organizations.
------------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Corporation Finance

Proposed Rule Stage

591. Proxy Solicitation Enhancements

    Legal Authority: 15 U.S.C. 78n
    Abstract: The Commission adopted amendments in December 2009 to
enhance proxy disclosures. In the proposing release for those rules,
the Commission also proposed further amendments to its proxy rules to
clarify the manner in which they operate and address issues that have
arisen in the proxy solicitation process. The Division is considering
recommending that the Commission repropose amendments in this area.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   07/17/09  74 FR 35076
NPRM Comment Period End.............   09/15/09  .......................
Final Rule..........................   12/23/09  74 FR 68334
Final Rule Effective................   02/28/10  .......................
Second NPRM.........................   06/00/12  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Mark W. Green, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC

20549-0301, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK28

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Corporation Finance

Final Rule Stage

592. Disqualification of Felons and Other ``Bad Actors'' From Rule 506
Offerings

    Legal Authority: 15 U.S.C. 77c(a); 15 U.S.C. 77d; 15 U.S.C. 77s; 15
U.S.C. 77z-3
    Abstract: The Commission proposed rules to disqualify securities
offerings involving certain ``bad actors'' from eligibility for the
exemptions under Rule 506 of Regulation D, in accordance with section
926 of the Dodd-Frank Act.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   06/01/11  76 FR 31518
NPRM Comment Period End.............   07/14/11  .......................
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Johanna Vega Losert, Division of Corporation
Finance, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK97

593. Short-Term Borrowings

    Legal Authority: 15 U.S.C. 77a et seq.; 15 U.S.C. 78a et seq.
    Abstract: The Commission proposed revisions to rules to enhance the
disclosure that registrants provide about short-term borrowings.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   09/28/10  75 FR 59866
NPRM Comment Period End.............   11/29/10  .......................
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Christina Padden, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK72

594. Conflict Minerals

    Legal Authority: 15 U.S.C. 77g; 15 U.S.C. 77j; 15 U.S.C. 77s; 15
U.S.C. 78l; 15 U.S.C. 78m; 15 U.S.C. 78o; 15 U.S.C. 78w; Pub. L. 111-
203 sec 1502
    Abstract: The Commission proposed amendments to forms and rules to
implement the requirements of section 1502 of the Dodd-Frank Act. The
proposed amendments would require any reporting issuer for which
conflict minerals are necessary to the functionality or production of a
product manufactured or contracted to be manufactured by that issuer to
disclose in its annual report whether its conflict minerals originated
in the Democratic Republic of the Congo or an adjoining country. If so,
the issuer would be required to furnish a separate report which is
audited by an independent private sector auditor, as an exhibit to the
annual report that includes, among other matters, a description of the
measures taken by the issuer to exercise due diligence on the source
and chain of custody of its conflict minerals.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   12/23/10  75 FR 80948
NPRM Comment Period End.............   01/31/11  .......................
NPRM Comment Period Extended........   02/03/11  76 FR 6110
NPRM Comment Period Extended End....   03/02/11  .......................
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: John Fieldsend, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK84

595. Disclosure of Payments by Resource Extraction Issuers

    Legal Authority: 15 U.S.C. 78q; Pub. L. 203-111 sec 1504
    Abstract: The Commission proposed rules pursuant to section1504 of
the Dodd-Frank Act, which added section 13(q) to the Exchange Act.
Section 13(q) requires the Commission to adopt rules requiring resource
extraction issuers to disclose in their annual reports filed with the
Commission payments made to foreign governments or the U.S. federal
government for the purpose of the commercial development of oil,
natural gas, or minerals.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   12/23/10  75 FR 80978
NPRM Comment Period End.............   01/31/11  .......................
NPRM Comment Period Extended........   02/03/11  76 FR 6111
NPRM Comment Period Extended End....   03/02/11  .......................
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Elliot Staffin, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK85

596. Listing Standards for Compensation Committees

    Legal Authority: Pub. L. 111-203 sec 952; 15 U.S.C. 78j-3
    Abstract: The Commission proposed a new rule and rule amendments to
implement the provisions of section 952 of the Dodd-Frank Act, which
adds section 10C to the Exchange Act. Section 10C requires the
Commission to adopt rules directing the national securities exchanges
and national securities associations to prohibit the listing of any
equity security of an issuer that is not in compliance with section
10C's compensation committee and compensation adviser requirements. In
accordance with the statute, the proposed rule would direct the
exchanges to establish listing standards that, among other things,
require each member of a listed issuer's compensation committee to be a
member of the board of directors and to be ``independent,'' as defined
in the listing standards of the exchanges adopted in accordance with
the proposed rule. In addition, section 10C(c)(2) of the Exchange Act
requires the Commission to adopt new disclosure rules concerning the
use of compensation consultants and any related conflicts of interest.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   04/06/11  76 FR 18966
NPRM Comment Period End.............   04/29/11  .......................
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Sean Harrison, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC

20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK95

597.  Exemptions for Security-Based Swaps

    Legal Authority: 15 U.S.C. 77s; 15 U.S.C. 77aa; 15 U.S.C. 78l(h);
15 U.S.C. 78w(a); 15 U.S.C. 78mm; 15 U.S.C. 78ddd(d)
    Abstract: The Commission adopted interim final rules, providing
exemptions under the Securities Act, Exchange Act, and Trust Indenture
Act for those security-based swaps that under current law are security-
based swap agreements and will be defined as ``securities'' under the
Securities Act and the Exchange Act as of July 16, 2011, due solely to
the provisions of title VII of the Dodd-Frank Act.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
Interim Final Rule..................   07/11/11  76 FR 40605
Interim Final Rule Effective........   07/11/11  .......................
Interim Final Rule Comment Period      08/15/11  .......................
 End.
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Amy Starr, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>.
    RIN: 3235-AL17

598. Net Worth Standard for Accredited Investors

    Legal Authority: Pub. L. 111-203 sec 413(a); 15 U.S.C. 77c(b); 15
U.S.C. 77d(2)
    Abstract: The Commission proposed amendments to the accredited
investor standards in its rules under the Securities Act to reflect the
requirements of section 413(a) of the Dodd-Frank Act. Section 413(a)
requires the definitions of ``accredited investor'' in Securities Act
rules to exclude the value of a person's primary residence for purposes
of determining whether the person qualifies as an ``accredited
investor'' on the basis of having a net worth in excess of $1 million.
The Commission also proposed technical amendments to Form D and a
number of its rules to conform them to the language of section 413(a)
and to correct cross-references to former section 4(6) of the
Securities Act, which was renumbered section 4(5) by section 944 of the
Dodd-Frank Act.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   01/31/11  76 FR 5307
NPRM Comment Period End.............   03/11/11  .......................
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Anthony G. Barone, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>.
    RIN: 3235-AK90

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Corporation Finance

Completed Actions

599. Voluntary Filers

    Legal Authority: Not Yet Determined
    Abstract: The Commission is withdrawing this item from the Unified
Agenda because it does not expect to consider this item within the next
12 months, but the Commission may consider the item at a future date.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
Withdrawn...........................   10/01/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Sean Harrison, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>.
    RIN: 3235-AK59

600. Risk Disclosures

    Legal Authority: Not Yet Determined
    Abstract: The Commission is withdrawing this item from the Unified
Agenda because it does not expect to consider this item within the next
12 months, but the Commission may consider the item at a future date.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
Withdrawn...........................   10/01/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Jennifer Zepralka, Division of Corporation Finance,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>.
    RIN: 3235-AK58

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Investment Management

Final Rule Stage

601. References to Credit Ratings in Certain Investment Company Act
Rules and Forms

    Legal Authority: 15 U.S.C. 80a-6(c); 15 U.S.C. 80a-8; 15 U.S.C.
80a-14(a); 15 U.S.C. 80a-29; 15 U.S.C. 80a-30(a); 15 U.S.C. 80a-37; 15
U.S.C. 77e; 15 U.S.C. 77f; 15 U.S.C. 77g; 15 U.S.C. 77j; 15 U.S.C.
77s(a); Pub. L. 111-203 sec 939; Pub. L. 111-203 sec 939A
    Abstract: The Commission proposed (i) to amend two rules (Rules 2a-
7 and 5b-3) and four forms (Forms N-1A, N-2, N-3, and N-MFP) under the
Investment Company Act that reference credit ratings and (ii) a new
rule under that Act that would set forth a credit quality standard in
place of a credit rating removed by the Dodd-Frank Act from section
6(a)(5)(A)(iv)(1)of that Act. These proposals would give effect to
provisions of the Dodd-Frank Act that require removing credit ratings
references from certain Commission regulations and adopting credit
quality standards to replace such references in the rules as well as to
replace a statutory credit rating reference eliminated by the Dodd-
Frank Act.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   03/09/11  76 FR 12896
NPRM Comment Period End.............   04/25/11  .......................
Final Action........................   12/00/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Anu Dubey, Division of Investment Management,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549
    Phone:<PHONE_NUMBER>
    RIN: 3235-AL02

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Investment Management

Completed Actions

602. Rules Implementing Amendments to the Investment Advisers Act

    Legal Authority: 15 U.S.C. 80b-3(c)(1); 15 U.S.C. 80b-
3A(a)(2)(B)(ii); 15 U.S.C. 80b-3A(C); 15 U.S.C. 80b-4; 15 U.S.C. 80b-
6(4); 15 U.S.C. 80b-6A; 15 USAC 77s(a); 15 U.S.C. 77sss(a); 15 U.S.C.
78a-37(a); 15 U.S.C. 78w(a); 15 U.S.C. 78bb(e)(2); Pub. L. 111-203 sec
404;

Pub. L. 111-203 sec 406 to 408; Pub. L. 111-203 sec 410
    Abstract: The Commission adopted new rules and amendments to
existing rules and forms under the Advisers Act to implement provisions
of the Dodd-Frank Act that eliminate the ``private adviser'' exemption,
extend the Commission's authority to require reporting by certain
investment advisers that are exempt from registration, and reallocate
regulatory responsibilities for certain investment advisers to the
states. The Commission also adopted amendments to the registration form
(Form ADV) for investment advisers to obtain additional information
that will enhance the Commission's risk-assessment capabilities.
Finally, the Commission adopted amendments to its pay to play rule and
other rules to address a number of other changes to the Investment
Advisers Act made by the Dodd-Frank Act.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   12/10/10  75 FR 77052
NPRM Comment Period End.............   01/24/11  .......................
Final Action........................   07/19/11  76 FR 42950
Final Action Effective..............   09/19/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Jennifer Porter, Division of Investment Management,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK82

603. Family Offices

    Legal Authority: 15 U.S.C. 80b-2(a)(11)(G)
    Abstract: The Commission adopted a rule, consistent with section
409 of the Dodd-Frank Act, regarding family offices.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   10/18/10  75 FR 63753
NPRM Comment Period End.............   11/18/10  .......................
Final Action........................   06/29/11  76 FR 37983
Final Action Effective..............   08/29/11  .......................
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Sarah ten Siethoff, Division of Investment
Management, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK66

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Trading and Markets

Proposed Rule Stage

604. Publication or Submission of Quotations Without Specified
Information

    Legal Authority: 15 U.S.C. 78c; 15 U.S.C. 78j(b); 15 U.S.C. 78o(c);
15 U.S.C. 78o(g); 15 U.S.C. 78q(a); 15 U.S.C. 78w(a)
    Abstract: As part of its efforts to respond to fraud and
manipulation in the microcap securities market, the Commission proposed
amendments to Rule 15c2-11. These amendments would limit the rule's
piggyback provision and increase public availability of issuer
information. The amendments would expand the information review
requirements for non-reporting issuers and the documentation required
for significant relationships between the broker-dealer and the issuer
of the security to be quoted. Finally, the amendments would exclude
from the rule securities of larger, more liquid issuers.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   02/25/98  63 FR 9661
NPRM Comment Period End.............   04/27/98
Second NPRM.........................   03/08/99  64 FR 11124
Second NPRM Comment Period End......   04/07/99
Second NPRM Comment Period Extended.   04/14/99  64 FR 18393
Comment Period End..................   05/08/99
Third NPRM..........................   09/00/12
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Barry O'Connell, Securities and Exchange
Commission, Division of Trading and Markets, 100 F Street NE.,
Washington, DC 20549, Phone:<PHONE_NUMBER>.
    RIN: 3235-AH40

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Trading and Markets

Final Rule Stage

605. Broker-Dealer Reports

    Legal Authority: 15 U.S.C. 78q
    Abstract: The Commission proposed amendments to Rule 17a-5 dealing
with, among other things, broker-dealer custody of assets.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   06/27/11  76 FR 37572
NPRM Comment Period End.............   08/26/11
Final Action........................   12/00/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Mark Attar, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK56

606. Transitional Registration as a Municipal Advisor

    Legal Authority: Pub. L. 111-203, sec 975
    Abstract: The Commission adopted an interim final temporary rule to
require all municipal advisors to register with it by October 1, 2010,
consistent with the Dodd-Frank Act. The rule is effective through
December 31, 2011.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
Interim Final Rule..................   09/08/10  75 FR 54465
Interim Final Rule Effective........   10/01/10
Interim Final Rule Comment Period      10/08/10
 End.
Interim Final Rule Effective Through   12/31/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Ira Brandriss, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK69

607. Consolidated Audit Trail

    Legal Authority: 15 U.S.C. 78k-1(a); 15 U.S.C. 78q(a)
    Abstract: The Commission proposed a rule that would require
national securities exchanges and national securities associations to
act jointly in developing a national market system (NMS) plan to
develop, implement, and maintain a consolidated order tracking system,
or consolidated audit trail, with respect to the trading of NMS
securities.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   06/08/10  75 FR 32556
NPRM Comment Period End.............   08/09/10
Final Action........................   12/00/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Jennifer L. Colihan, Division of Trading and
Markets, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK51

608.  Removal of Certain References to Credit Ratings Under the
Securities Exchange Act of 1934

    Legal Authority: Pub. L. 111-203 sec 939A
    Abstract: Section 939A of the Dodd-Frank Act requires the
Commission to remove any references to credit ratings from its
regulations and to substitute such standards of creditworthiness as the
Commission determines to be appropriate. The Commission proposed to
amend certain rules and one form under the Securities Exchange Act of
1934 (the Exchange Act) applicable to broker-dealer financial
responsibility, distributions of securities, and confirmations of
transactions. The Commission also requested comment on potential
standards of creditworthiness for purposes of Exchange Act sections
3(a)(41) and 3(a)(53), which define the terms ``mortgage related
security'' and ``small business related security,'' respectively, as
the Commission considers how to implement section 939(e) of the Dodd-
Frank Act.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   05/06/11  76 FR 26550
NPRM Comment Period End.............   07/05/11
Final Action........................   09/00/12
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Leigh Bothe, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AL14

609.  Rules for Nationally Recognized Statistical Rating
Organizations

    Legal Authority: 15 U.S.C. 78o-7; 15 U.S.C. 78q; 15 U.S.C. 78mm;
Pub. L. 111-203 sections 936, 938, and 943
    Abstract: The Commission proposed rules and rule amendments to
implement certain provisions of the Dodd-Frank Act concerning
nationally recognized statistical rating organizations, providers of
third-party due diligence services for asset-backed securities, and
issuers and underwriters of asset-backed securities.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   06/08/11  76 FR 33420
NPRM Comment Period End.............   08/08/11
Final Action........................   12/00/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Timothy Fox, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AL15

SECURITIES AND EXCHANGE COMMISSION (SEC)

Division of Trading and Markets

Completed Actions

610. Confirmation of Transactions in Open-End Management Investment
Company Shares, Unit Investment Trust Interests, and Municipal Fund
Securities Used for Education Savings

    Legal Authority: 15 U.S.C. 78j; 15 U.S.C. 78k; 15 U.S.C. 78o; 15
U.S.C. 78q; 15 U.S.C. 78w(a); 15 U.S.C. 78mm
    Abstract: The Commission is withdrawing this item from the Unified
Agenda because it does not expect to consider this item within the next
12 months, but the Commission may consider the item at a future date.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   02/10/04  69 FR 6438
NPRM Comment Period End.............   04/12/04
NPRM Comment Period Extended........   03/04/05  70 FR 10521
NPRM Comment Period End.............   04/04/05
Withdrawn...........................   10/01/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Alicia Goldin, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Fax:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AJ11

611. Point-of-Sale Disclosure of Purchases in Open-End Management
Investment Company Shares, Unit Investment Trust Interests, and
Municipal Fund Securities Used for Education Savings

    Legal Authority: 15 U.S.C. 78j; 15 U.S.C. 78k; 15 U.S.C. 78o; 15
U.S.C. 78q; 15 U.S.C. 78w(a); 15 U.S.C. 78mm
    Abstract: The Commission is withdrawing this item from the Unified
Agenda because it does not expect to consider this item within the next
12 months, but the Commission may consider the item at a future date.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   02/10/04  69 FR 6438
NPRM Comment Period End.............   04/12/04
NPRM Comment Period Extended........   03/04/05  70 FR 10521
NPRM Comment Period End.............   04/04/05
Withdrawn...........................   10/01/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Alicia Goldin, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Fax:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AJ12

612. Rule 15C-100: Schedule 15C

    Legal Authority: 15 U.S.C. 78j; 15 U.S.C. 78k; 15 U.S.C. 78o; 15
U.S.C. 78q; 15 U.S.C. 78w(a); 15 U.S.C. 78mm
    Abstract: The Commission is withdrawing this item from the Unified
Agenda because it does not expect to consider this item within the next
12 months, but the Commission may consider the item at a future date.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   02/10/04  69 FR 6438
NPRM Comment Period End.............   04/12/04
NPRM Comment Period Extended........   03/04/05  70 FR 10521
NPRM Comment Period End.............   04/04/05
Withdrawn...........................   10/01/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Alicia Goldin, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Fax:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>

    RIN: 3235-AJ13

613. Rule 15C-101: Schedule 15D

    Legal Authority: 15 U.S.C. 78j; 15 U.S.C. 78k; 15 U.S.C. 78o; 15
U.S.C. 78q; 15 U.S.C. 78w(a); 15 U.S.C. 78mm
    Abstract: The Commission is withdrawing this item from the Unified
Agenda because it does not expect to consider this item within the next
12 months, but the Commission may consider the item at a future date.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   02/10/04  69 FR 6438
NPRM Comment Period End.............   04/12/04
NPRM Comment Period Extended........   03/04/05  70 FR 10521
NPRM Comment Period End.............   04/04/05
Withdrawn...........................   10/01/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Alicia Goldin, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Fax:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AJ14

614. Processing of Reorganization Events, Tender Offers, and Exchange
Offers

    Legal Authority: 15 U.S.C. 78b; 15 U.S.C. 78k-1(a)(1)(B); 15 U.S.C.
78n(d)(4); 15 U.S.C. 78o(c)(3); 15 U.S.C. 78o(c)(6); 15 U.S.C. 78q-
1(a); 15 U.S.C. 78q-1(d)(1); 15 U.S.C. 78w(a)
    Abstract: The Commission is withdrawing this item from the Unified
Agenda because it does not expect to consider this item within the next
12 months, but the Commission may consider the item at a future date.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   09/04/98  63 FR 47209
NPRM Comment Period End.............   11/03/98
Withdrawn...........................   10/01/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Jerry Carpenter, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Fax:<PHONE_NUMBER>, Email:
<EMAIL_ADDRESS>    RIN: 3235-AH53

615. Proposed Rules for Nationally Recognized Statistical Rating
Organizations

    Legal Authority: 15 U.S.C. 78o-7; 15 U.S.C. 89q
    Abstract: The Commission proposed rule amendments and a new rule
that would require nationally recognized statistical rating
organizations (NRSROs) to furnish a new annual report by the firm's
designated compliance officers, to disclose additional information
about firm sources of revenue, and to make publicly available a
consolidated report about revenues attributable to persons paying the
NRSRO for the issuance or maintenance of a credit rating.
    The Commission is withdrawing this item from the Unified Agenda
because it does not expect to consider this item within the next 12
months, but the Commission may consider the item at a future date,
pending the outcome of additional NRSRO rules proposed in May 2011 (RIN
3235-AL15) to implement certain provisions of the Dodd-Frank Act.
    Timetable:

------------------------------------------------------------------------
               Action                    Date            FR Cite
------------------------------------------------------------------------
NPRM................................   06/25/08  73 FR 36212
NPRM Comment Period End.............   07/25/08
Final Rule..........................   02/09/09  74 FR 6465
Second NPRM.........................   02/09/09  74 FR 6485
Second NPRM Comment Period End......   03/26/09
Final Rule..........................   12/04/09  74 FR 63832
Final Rule Effective................   02/01/10
Third NPRM..........................   12/04/09  74 FR 63866
Third NPRM Comment Period End.......   02/02/10
Withdrawn...........................   10/01/11
------------------------------------------------------------------------

    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: Sheila Swartzs, Division of Trading and Markets,
Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549, Phone:<PHONE_NUMBER>, Fax:<PHONE_NUMBER>, Email<EMAIL_ADDRESS>    RIN: 3235-AK14

[FR Doc. 2012-1669 Filed 2-10-12; 8:45 am]
BILLING CODE 8011-01-P