NCAC Table of Contents
NCAC
NCAC > Title 18 - Secretary of State > Chapter 06 - Securities Division
SubChapter AHTML | DOC
18 NCAC 06A .0101-.0103REPEALEDHTML | DOC
18 NCAC 06A .0201-.0213REPEALEDHTML | DOC
18 NCAC 06A .0301-.0302REPEALEDHTML | DOC
18 NCAC 06A .0401-.0407REPEALEDHTML | DOC
18 NCAC 06A .0501-.0504REPEALEDHTML | DOC
18 NCAC 06A .0601-.0607REPEALEDHTML | DOC
18 NCAC 06A .0701-.0704REPEALEDHTML | DOC
18 NCAC 06A .0801-.0803REPEALEDHTML | DOC
18 NCAC 06A .0901-.0902REPEALEDHTML | DOC
18 NCAC 06A .1001-.1004REPEALEDHTML | DOC
18 NCAC 06A .1101LOCATION AND HOURSHTML | DOC
18 NCAC 06A .1102PURPOSEHTML | DOC
18 NCAC 06A .1103REPEALED - ADMINISTRATION (REPEALED)HTML | DOC
18 NCAC 06A .1104DEFINITIONSHTML | DOC
18 NCAC 06A .1201REPEALED - DESIGNATED SECURITIES EXCHANGES (REPEALED)HTML | DOC
18 NCAC 06A .1202RECOGNIZED SECURITIES MANUALSHTML | DOC
18 NCAC 06A .1203INFORMATION FILED BY REGISTERED DEALERHTML | DOC
18 NCAC 06A .1204REPEALED - LIMITED OFFERINGS (REPEAled)HTML | DOC
18 NCAC 06A .1205LIMITED OFFERINGS PURSUANT TO G.S. 78A-17(9)HTML | DOC
18 NCAC 06A .1206LIMITED OFFERING EXEMPTION PURSUANT TO G.S. 78A-17(17)HTML | DOC
18 NCAC 06A .1207DISQUALIFICATIONS FROM RELIANCE UPON CERTAIN EXEMPTIONSHTML | DOC
18 NCAC 06A .1208TRANSACTIONS EXEMPT UNDER RULE .1206: FILING REQUIREMENTSHTML | DOC
18 NCAC 06A .1209NONPROFIT SECURITIESHTML | DOC
18 NCAC 06A .1210SECURITIES EXCHGS/AUTO QUOTATION SYS APPROVED/ADMINISTRATORHTML | DOC
18 NCAC 06A .1211NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGSHTML | DOC
18 NCAC 06A .1212NOTICE FILING PROCEDURES FOR OFFERINGS OF INVESTMENT COMPANY SECURITIESHTML | DOC
18 NCAC 06A .1213TRANSACTIONAL EXEMPTION PURSUANT TO G.S. 78A-17(19)HTML | DOC
18 NCAC 06A .1301REGISTRATION BY NOTIFICATIONHTML | DOC
18 NCAC 06A .1302REGISTRATION BY COORDINATIONHTML | DOC
18 NCAC 06A .1303REGISTRATION BY QUALIFICATIONHTML | DOC
18 NCAC 06A .1304SECURITIES REGISTRATION AND FILING FEESHTML | DOC
18 NCAC 06A .1305SPONSORSHIP BY DEALERHTML | DOC
18 NCAC 06A .1306CONFIRMATION OF REGISTRATIONHTML | DOC
18 NCAC 06A .1307COMMISSIONS AND EXPENSESHTML | DOC
18 NCAC 06A .1308ADVERTISINGHTML | DOC
18 NCAC 06A .1309REPEALED - ADVERTISEMENTS NOT DEEMED PROSPECTUS: ETC. (repealed)HTML | DOC
18 NCAC 06A .1310OFFERING PRICEHTML | DOC
18 NCAC 06A .1311REPEALED - SHELF REGISTRATIONS (repealed)HTML | DOC
18 NCAC 06A .1312REPEALED - REGISTRATION OF REAL ESTATE SECURITIES (repealed)HTML | DOC
18 NCAC 06A .1313REGISTRATION OF DIRECT PARTICIPATION PROGRAM SECURITIESHTML | DOC
18 NCAC 06A .1314ESCROW AGREEMENTSHTML | DOC
18 NCAC 06A .1315NOTICE OF COMPLETION OF OFFERING/FINAL SALES REPORTHTML | DOC
18 NCAC 06A .1316LEGENDS REQUIREDHTML | DOC
18 NCAC 06A .1317AMENDMENT OF FILINGSHTML | DOC
18 NCAC 06A .1318AUTOMATIC WITHDRAWAL OF APPLICATION FOR REGISTRATIONHTML | DOC
18 NCAC 06A .1319required disclosures: viatical settlement contractsHTML | DOC
18 NCAC 06A .1320VIATICAL SETTLEMENT CONTRACT SUITABILITY REQUIREMENTSHTML | DOC
18 NCAC 06A .1401APPLICATION FOR REGISTRATION OF DEALERSHTML | DOC
18 NCAC 06A .1402APPLICATION FOR REGISTRATION OF SALESMENHTML | DOC
18 NCAC 06A .1403TERMINATION OF REGISTRATION OF DEALERHTML | DOC
18 NCAC 06A .1404CHANGE IN NAME OF DEALERHTML | DOC
18 NCAC 06A .1405DEALER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSIONHTML | DOC
18 NCAC 06A .1406EXPIRATION AND RENEWAL OF DEALER REGISTRATIONHTML | DOC
18 NCAC 06A .1407EXPIRATION AND RENEWAL OF SALESMAN'S REGISTRATIONHTML | DOC
18 NCAC 06A .1408TERMINATION OF SALESMAN'S REGISTRATIONHTML | DOC
18 NCAC 06A .1409TRANSFER OF SALESMAN'S REGISTRATIONHTML | DOC
18 NCAC 06A .1410MINIMUM FINANCIAL REQUIREMENTS FOR DEALERSHTML | DOC
18 NCAC 06A .1411RECORD KEEPING REQUIREMENTS FOR DEALERSHTML | DOC
18 NCAC 06A .1412FINANCIAL STATEMENTSHTML | DOC
18 NCAC 06A .1413SALESMAN EXAMINATION REQUIREDHTML | DOC
18 NCAC 06A .1414DISHONEST/UNETHICAL PRACTICES OF DEALERS AND SALESMENHTML | DOC
18 NCAC 06A .1415REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORSHTML | DOC
18 NCAC 06A .1416REPORTING REQUIREMENTS OF DEALERS AND SALESMENHTML | DOC
18 NCAC 06A .1417APPLICATION FOR LIMITED REGISTRATION OF CANADIAN SECURITIES DEALERS AND SALESMENHTML | DOC
18 NCAC 06A .1501RESCISSION OFFERSHTML | DOC
18 NCAC 06A .1502APPLICATION TO EXCHANGE SECURITIESHTML | DOC
18 NCAC 06A .1503FORM OF CONSENT TO SERVICE OF PROCESSHTML | DOC
18 NCAC 06A .1504REQUEST FOR INTERPRETATIVE OPINIONS: NO-ACTION LETTERSHTML | DOC
18 NCAC 06A .1505REPEALED - LEGENDS REQUIRED (repealed)HTML | DOC
18 NCAC 06A .1506REPEALED - PUBLIC INFORMATION (repealed)HTML | DOC
18 NCAC 06A .1507IMPLICATIONS OF REGISTRATION OR EXEMPTIONHTML | DOC
18 NCAC 06A .1508FAILURE TO FURNISH INFORMATIONHTML | DOC
18 NCAC 06A .1509REPEALED - FORMS (repealed)HTML | DOC
18 NCAC 06A .1510LIMITED LIABILITY COMPANY MEMBERSHIP INTERESTS AS SECURITIESHTML | DOC
18 NCAC 06A .1601PURPOSEHTML | DOC
18 NCAC 06A .1602PROCEDURE FOR APPLICATION FOR REGISTRATIONHTML | DOC
18 NCAC 06A .1603AMENDMENT OF APPLICATIONHTML | DOC
18 NCAC 06A .1604OBTAINING CERTIFICATES OF REGISTRATIONHTML | DOC
18 NCAC 06A .1605REPEALED - REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (repealed)HTML | DOC
18 NCAC 06A .1606REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (repealed)HTML | DOC
18 NCAC 06A .1607FORMSHTML | DOC
18 NCAC 06A .1701DEFINITIONSHTML | DOC
18 NCAC 06A .1702APPLICATION FOR INVESTMENT ADVISER REGISTRATION/NOTICE FILING FOR INVESTMENT ADVISER COVERED UNDER FEDERAL LAWHTML | DOC
18 NCAC 06A .1703APPLICATION/INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONHTML | DOC
18 NCAC 06A .1704MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1705BONDING REQUIREMENTS FOR CERTAIN INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1706RECORD-KEEPING REQUIREMENTS FOR INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1707INVESTMENT ADVISER BROCHURE RULEHTML | DOC
18 NCAC 06A .1708FINANCIAL REPORTING REQUIREMENTS FOR INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1709EXAM REQUIRE/INVESTMENT ADVISERS: REPRESENTATIVESHTML | DOC
18 NCAC 06A .1710TERMINATION/WITHDRAWAL/INVESTMENT ADVISER REGISTRATIONSHTML | DOC
18 NCAC 06A .1711TRANSFER/INVESTMENT ADVISER REPRESENTATIVE'S REGISTRATIONHTML | DOC
18 NCAC 06A .1712REPEALED - CHANGE OF NAME OF INVESTMENT ADVISER (repealed)HTML | DOC
18 NCAC 06A .1713INVEST ADVISER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSIONHTML | DOC
18 NCAC 06A .1714REPEALED - REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORS (repealed)HTML | DOC
18 NCAC 06A .1715INVESTMENT ADVISER REGISTRATION DEPOSITORYHTML | DOC
18 NCAC 06A .1716TRANSITION SCHEDULE FOR CONVERSION TO IARDHTML | DOC
18 NCAC 06A .1717Cash Payments for Client SolicitationsHTML | DOC
18 NCAC 06A .1801DISHONEST OR UNETHICAL PRACTICESHTML | DOC
18 NCAC 06A .1802CUSTODY/CLIENT FUNDS OR SECURITIES BY INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1803AGENCY CROSS TRANSACTIONSHTML | DOC
18 NCAC 06A .1804EXEMPTION/SECTION 78C-8(A)(3)/CERTAIN BROKER-DEALERSHTML | DOC
18 NCAC 06A .1805PERFORMANCE-BASED COMPENSATION EXEMPTIONHTML | DOC
18 NCAC 06A .1806TRANSACTIONS DEEMED NOT TO BE ASSIGNMENTSHTML | DOC
18 NCAC 06A .1807REQUEST FOR INTERPRETATIVE OPINIONSHTML | DOC
18 NCAC 06A .1808SUPERVISION OF INVESTMENT ADVISER REPRESENTATIVESHTML | DOC
18 NCAC 06A .1809REPEALED - PUBLIC INFORMATION (repealed)HTML | DOC
18 NCAC 06A .1810FORM OF CONSENT TO SERVICE OF PROCESSHTML | DOC
18 NCAC 06A .1811REPEALED - FORMS (repealed)HTML | DOC
18 NCAC 06A .1901-1906REPEALEDHTML | DOC
 
SubChapter BHTML | DOC
18 NCAC 06B .0101SCOPEHTML | DOC
18 NCAC 06B .0102ADMINISTRATIONHTML | DOC
18 NCAC 06B .0201SENIOR DESIGNATION AS DISHONEST OR UNETHICAL PRACTICEHTML | DOC
 
SubChapter CHTML | DOC
18 NCAC 06C .0101LETTER OF INQUIRYHTML | DOC
18 NCAC 06C .0102INVESTIGATIVE SUBPOENASHTML | DOC
18 NCAC 06C .0103ADMINISTRATIVE HEARINGSHTML | DOC
18 NCAC 06C .0104SETTLEMENTHTML | DOC
18 NCAC 06C .0105ARTICLE 3A CONTESTED CASE PROCEDURESHTML | DOC
18 NCAC 06C .0106TEMPORARY ORDERSHTML | DOC
18 NCAC 06C .0107CONDUCT OF HEARINGHTML | DOC
18 NCAC 06C .0108FINAL ORDERHTML | DOC
 
search help ]   
general information  *  disclaimer  *  nc.gov
general information    disclaimer    nc.gov