Regulatory Alerts2017-07-21 | 2017-15216Added · Updated
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
The Securities and Exchange Commission proposes amending Rule 146 to designate securities listed on Investors Exchange LLC as covered securities under Section 18 of the Securities Act of 1933. This designation would exempt these securities from state law registration requirements by determining that IEX's listing standards are substantially similar to those of the Named Markets. The proposal follows IEX's petition and the Commission's preliminary belief that its initial and continuing listing standards meet the necessary similarity criteria.
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