Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Rule 146 -- Rules Under Section 18 of the Act

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1. 
   
   
   1. Authorizes the document's production, and

   2. Approves the document before its use.
      
      
2. Covered securities for purposes of Section 18.
   
   
   1. For purposes of Section 18(b) of the Act, the Commission finds that the following national securities exchanges, or segments or tiers thereof, have listing standards that are substantially similar to those of the New York Stock Exchange ("NYSE"), the American Stock Exchange ("Amex"), or the National Market System of the Nasdaq Stock Market ("Nasdaq/NGM"), and that securities listed, or authorized for listing, on such exchanges shall be deemed covered securities:
      
      
      1. Tier I of the NYSE Arca, Inc.;
         
         
      2. Tier I of the Philadelphia Stock Exchange, Inc.;
      
      
      
      3. The Chicago Board Options Exchange, Incorporated;
      
      
      
      4. Options listed on the International Securities Exchange, LLC: and
      
      
      
      5. The Nasdaq Capital Market.
      
      
      
   2. The designation of securities in paragraphs (b)(1)(i) through (v) of this section as covered securities is conditioned on such exchanges' listing standards (or segments or tiers thereof) continuing to be substantially similar to those of the NYSE, Amex, or Nasdaq/NGM.
   
   

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