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SEC Covered Securities Amendment to Rule 146

November 29, 2017

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. Effective November 29, 2017.


November 29, 2017
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