Securities and Exchange Commission October 30, 2017 – Federal Register Recent Federal Regulation Documents

Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Document Number: 2017-23507
Type: Rule
Date: 2017-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
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.
Submission for OMB Review; Comment Request
Document Number: 2017-23471
Type: Notice
Date: 2017-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions