Series 63 practice questionmediumFiling Fees
If an amendment is filed to increase the number of securities offered, what must be included with the amendment under the USA?
- AA new registration form only
- BA new filing fee for the additional securities✓ Correct answer
- CProof of SEC approval
- DList of all previous purchasers
Explanation
Why B — A new filing fee for the additional securities
The USA (Section 305(d)) requires a new filing fee proportionate to the increased amount. New forms (A), proof of SEC approval (C), and a list of purchasers (D) are not required for this purpose.
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