Series 63 practice questionmediumNotice Filing Application
If a federal covered security requires a notice filing in a state, the administrator may require all of the following EXCEPT:
- AFiling of all documents filed with the SEC
- BPayment of a filing fee
- CRegistration by qualification✓ Correct answer
- DConsent to service of process
Explanation
Why C — Registration by qualification
States may require notice filings, fee, and consent to service of process, but cannot require registration by qualification for federal covered securities.
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