18 NCAC 06A .1412          FINANCIAL STATEMENTS

Each dealer registered or required to be registered under this Act shall comply with SEC Rule 17a-11 (17 C.F.R. 240.17a-11), as amended from time to time, and shall file with the Administrator upon request copies of notices and reports required under SEC Rules 17a-5, 17a-10, and 17a-11 (17 C.F.R. 240.17a-5, 17 C.F.R. 240.17a-10, and 17 C.F.R. 240.17a-11), as amended from time to time.

 

History Note:        Authority G.S. 78A‑38(b); 78A‑49(c);

Eff. April 1, 1981;

Amended Eff. September 1, 1995;

Temporary Amendment Eff. October 1, 1997;

Amended Eff. August 1, 1998;

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