[Code of Federal Regulations]
[Title 17, Volume 2]
[Revised as of April 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR230.146]

[Page 495]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933--Table of Contents
 
Sec. 230.146  Rules under section 18 of the Act.

    (a) Prepared by or on behalf of the issuer. An offering document (as 
defined in Section 18(d)(1) of the Act [15 U.S.C. 77r(d)(1)]) is 
``prepared by or on behalf of the issuer'' for purposes of Section 18 of 
the Act, if the issuer or an agent or representative:
    (1) Authorizes the document's production, and
    (2) Approves the document before its use.
    (b) Covered securities for purposes of Section 18. (1) For purposes 
of Section 18(b) of the Act (15 U.S.C. 77r), 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/NMS''), and that securities listed on such exchanges shall be 
deemed covered securities:
    (i) Tier I of the Pacific Exchange, Incorporated;
    (ii) Tier I of the Philadelphia Stock Exchange, Incorporated; and
    (iii) The Chicago Board Options Exchange, Incorporated.
    (2) The designation of securities in paragraphs (b)(1) (i) through 
(iii) 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/NMS.

[62 FR 24573, May 6, 1997, as amended at 63 FR 3035, Jan. 21, 1998]