18 NCAC 06A .2007          ISSUER FILING REQUIREMENTS

(a)  An issuer shall file the following with the Administrator at least 10 business days before it intends to offer securities pursuant to the Exemption:

(1)           a Notice of Intrastate Claim of Exemption Form ("Form NCE") that complies with Rules .2008 and .2009 of this Section;

(2)           a disclosure document pursuant to the requirements of Rules .2010 through .2012 of this Section;

(3)           the escrow agreement that the issuer proposes to use in connection with the Exemption consistent with the rules in this Section, and any contracts with the escrow agent relating to its administration of the escrow account; and

(4)           the nonrefundable fee required by G.S. 78A-17.1(g).

(b)  If any information on the Form NCE becomes inaccurate or misleading, an issuer shall amend its Form NCE by filing with the Administrator within 10 business days an amended Form NCE.

 

History Note:        Authority G.S. 78A-17.1(a)(5); 78A-17.1(f); 78A-49(a); 78A-49(d); 78A-64; S.L. 2016-103, s.4.(a);

Eff. April 1, 2017.