Series 63 practice questionmediumIssuer Filing Obligations
The Administrator may require an issuer to file which of the following documents to keep registration statements current?
- AAmendments reflecting material changes✓ Correct answer
- BA list of all shareholders
- CPersonal financial statements of all directors
- DMarketing materials for the offering
Explanation
Why A — Amendments reflecting material changes
The USA allows Administrators to require amendments for material changes (Section 305). Lists of all shareholders (B) or personal financials (C) are not standard requirements, nor are marketing materials (D).
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