Final Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Overview
The Securities and Exchange Commission ("SEC' or "Commission') is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as amended ("Securities Act'), to designate certain securities listed, or authorized for listing, on Investors Exchange LLC ("IEX' or "Exchange') as covered securities for purposes of Section 18(b) of the Securities Act. Covered securities under Section 18(b) of the Securities Act are exempt from state law registration requirements. The Commission also is amending Rule 146 to reflect name changes of certain exchanges referenced in the Rule.
Prior Actions
Proposed Rule (33-10390)
Release Number
33-10390
SEC Issue Date
July 14, 2017
Federal Register Publish Date
July 21, 2017
Document Citation
82 FR 33839
RIN
3235-AM07
Resources
Details
File Number
S7-06-17
Rule Type
Final
Release Number
33-10428
SEC Issue Date
Oct. 24, 2017
Effective Date
November 29, 2017
Federal Register Publish Date
Oct. 30, 2017
Document Citation
82 FR 50059
RIN
3235-AM07