SECTION .1300 ‑ REGISTRATION OF SECURITIES

18 NCAC 06A .1301         REGISTRATION BY NOTIFICATION

Application for registration by notification shall be filed with the administrator using the Uniform Application to Register Securities (Form U‑1).  Supplemental information demonstrating eligibility for registration under this provision and the documents and information called for by G.S. 78A‑25(b) shall be attached.

History Note:        Authority G.S. 78A‑25; 78A‑49(a);

Eff. April 1, 1981;

Amended Eff. October 1, 1988;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 6, 2016.