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Section 210. Rule 413 — Registration of Additional Securities and Additional Classes of Securities
us SEC - C&DI - Securities Act Rules
Question 210.01
Question: May a registrant request a waiver from the requirement in Rule 413(a) that a post-effective amendment cannot be used to register additional securities to be included in an offering?
Answer: No. Unless the registration statement is an automatic shelf registration statement covered by Rule 413(b), the proper procedure is to file a separate registration statement for the offer and sale of the additional securities. The registrant can use a combined prospectus pursuant to Rule 429 for the offering. [Jan. 26, 2009]
Question 210.02
Question: May a pending registration statement be amended to add additional securities prior to its effective date?
Answer: Yes. Prior to the effective date, additional securities may be added for registration with the payment of the requisite additional fee. [Jan. 26, 2009]
Question 210.03
Question: An issuer files an automatic shelf registration statement on Form S-3 to register the offer and sale of a specified number of securities of a specified class of securities. May the issuer post-effectively amend this Form S-3 to add more securities of the same class already registered?
Answer: Yes. An issuer may add to the automatic shelf registration statement on Form S-3, by post-effective amendment, more securities of the same class already registered. [May 16, 2013]
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