Question 15 Q: 15 A “notice filing” refers to Options A: the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator. B: the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator. C: a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security. D: notification to the public by the issuer or its underwriters that the issue is being sold on an “all or nothing” basis. Save Question Show Answer Discussion 0 Clear Discussion Most voted Newest No comments yet. Be the first to comment. Post Be respectful. No spam. Correct Answer: B Explanation A “notice filing” refers to the filing by a federal covered investment adviser of forms filed with theSEC along with a consent to service of process with the state Administrator. The notice filing must beaccompanied by the requisite state filing fee as well.