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SEC RIN: 3235-AM07 Publication ID: Fall 2017 
Title: ●Covered Securities Pursuant to Section 18 of the Securities Act of 1933 

As set forth in Securities Act Release No. 10390 (June 14, 2017), the Securities and Exchange Commission proposes for comment an amendment to Rule 146 under Section 18 of the Securities Act of 1933 (Securities Act), as amended, to designate certain securities on Investors Exchange LLC as covered securities for purposes of Section 18(b) of the Securities Act.

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 230   
Legal Authority: 15 U.S.C. 77b    15 U.S.C. 77b note    15 U.S.C. 77c    15 U.S.C. 77d    15 U.S.C. 77f    15 U.S.C. 77g    15 U.S.C. 77h    15 U.S.C. 77j    15 U.S.C. 77r    15 U.S.C. 77s    15 U.S.C. 77z-3    15 U.S.C. 77sss    15 U.S.C. 78c    15 U.S.C. 78d    15 U.S.C. 78j    15 U.S.C. 78l    15 U.S.C. 78m    15 U.S.C. 78n    15 U.S.C. 78o    15 U.S.C. 78o-7 note    15 U.S.C. 78t    15 U.S.C. 78w    15 U.S.C. 78ll(d)    15 U.S.C. 78mm    15 U.S.C. 80a-8    15 U.S.C. 80a-24    15 U.S.C. 80a-28    15 U.S.C. 80a-30    15 U.S.C. 80a-37    Pub. L. 112-106 sec. 201(a)    Pub. L. 112-106 sec. 401    126 Stat. 313(2012)   
Legal Deadline:  None
Action Date FR Cite
NPRM  07/21/2017  82 CFR 33839   
NPRM Comment Period End  08/21/2017 
Final Action  10/00/2018 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Richard Holley
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5614