Series 63 practice questionmediumNotice Filing Content
A notice filing for a federal covered adviser typically requires submission of:
- AForm ADV Part 2 directly to the state administrator
- BA copy of SEC registration documents and payment of the state fee✓ Correct answer
- CA written request for exemption from state registration
- DA list of all advisory clients in the state
Explanation
Why B — A copy of SEC registration documents and payment of the state fee
States usually require submission of Form ADV Part 1 and Part 2 and payment of the state notice filing fee (USA Sec. 405).
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