18 NCAC 06A .2058          CONCLUSION OF the offering

The issuer shall file a report with the Administrator within 10 days of the conclusion of the securities offering. The report shall include:

(1)           the number of investors;

(2)           the aggregate amount of securities sold during the offering, expressed as:

(a)           number of units of securities sold; and

(b)           dollars raised by the sale of securities;

(3)           the date on which the funds were released to the issuer or returned to the investors; and

(4)           the date on which the securities offering was concluded.


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.