CHAPTER 01 - DEPARTMENTAL RULES

 

SUBCHAPTER 01A - ORGANIZATIONAL RULES

 

20 NCAC 01A .0101 GENERAL INFORMATION

The following is general information about the Department of State Treasurer:

(1) The chief officer is the State Treasurer;

(2) The mailing address is 3200 Atlantic Avenue, Raleigh, North Carolina 27604; and

(3) The office is located in the Longleaf Building, 3200 Atlantic Avenue, Raleigh, North Carolina.

 

History Note: Authority G.S. 143A‑30; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016;

Amended Eff. October 1, 2016.

 

20 NCAC 01A .0102 PURPOSES: FUNCTIONS: DUTIES OF THE STATE TREASURER

(a) The State Treasurer is responsible for the receipt, custody, and disbursement of all state funds and must see to their security and make certain that funds are available to meet all obligations of the state as they arise. Funds not immediately needed to meet current obligations must be invested according to law.

(b) In addition to being the official depository and investor for the state's funds, the State Treasurer is the state's fiscal consultant and manager of the public debt. He must aid all state agencies and institutions in the area of financial management.

(c) As manager of the state's public debt, the State Treasurer is one of the principal guardians of the public credit and has the duty to warn against unwise borrowing. Furthermore, the State Treasurer is charged with the duty of timing and planning the sale of bonds or notes as provided by the General Assembly and as approved by the Governor and Council of State.

(d) The powers and duties of the State Treasurer further extend to his ex officio membership and chairmanship by provision of the Constitution, on the Council of State (member) and Board of Education (member); and by act of the General Assembly, on the Banking Commission (chairman), Local Government Commission (chairman), the Tax Review Board (chairman), Teachers' and State Employee's Retirement System Board of Trustees (chairman), N.C. Local Governmental Employees' Retirement System Board of Trustees (chairman), Law Enforcement Officers' Benefit and Retirement Fund Board of Commissioners (chairman), Capitol Planning Commission (member), Capitol Building Authority (member) and the State Art Society (member), and the State Board of Community Colleges (member).

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Amended Eff. December 1, 1982;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

20 NCAC 01A .0103 ORGANIZATIONAL STRUCTURE

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Amended Eff. December 1, 1982;

Repealed Eff. July 1, 1987.

 

20 NCAC 01A .0104 INVESTMENT AND BANKING DIVISION

20 NCAC 01A .0105 STATE AND LOCAL GOVERNMENT FINANCE DIVISION

20 NCAC 01A .0106 RETIREMENT SYSTEMS DIVISION

20 NCAC 01A .0107 ADMINISTRATIVE SERVICES DIVISION

 

History Note: Authority G.S. 143A‑31;

Eff. September 15, 1977;

Amended Eff. December 1, 1982;

Repealed Eff. July 1, 1987.

 

 

SUBCHAPTER 1B ‑ ADMINISTRATIVE SERVICES

 

20 NCAC 01B .0101 BUDGET: PURPOSES: FUNCTIONS: DUTIES

20 NCAC 01B .0102 PERSONNEL: PURPOSES: FUNCTIONS: DUTIES

20 NCAC 01B .0103 PERSONNEL: AFFIRMATIVE ACTION PROGRAM

20 NCAC 01B .0104 PERSONNEL: GRIEVANCE PROCEDURES

20 NCAC 01B .0105 DISCIPLINARY ACTION: SUSPENSION: AND DISMISSAL

20 NCAC 01B .0106 PERSONNEL: MAJOR SOURCE

20 NCAC 01B .0107 PERSONNEL: FORMS

20 NCAC 01B .0108 PURCHASING: PURPOSE: FUNCTIONS: DUTIES

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Repealed Eff. March 1, 1985.

 

 

 

SUBCHAPTER 1C ‑ INVESTMENT AND BANKING

 

 

SECTION .0100 ‑ DISBURSEMENTS AND RECORDS SECTION

 

 

20 NCAC 01C .0101 PURPOSES: FUNCTIONS: DUTIES

20 NCAC 01C .0102 DISBURSING ACCOUNTS

20 NCAC 01C .0103 RECORDS MAINTAINED ON MICROFILM

20 NCAC 01C .0104 PROCEDURES FOR DEMAND DEPOSIT ACCOUNTS OF STATE FUNDS

20 NCAC 01C .0105 PROCEDURES FOR INTEREST‑BEARING CERTIFICATES OF DEPOSIT

20 NCAC 01C .0106 SURVEY BONDS AND COLLATERAL SECURITIES

20 NCAC 01C .0107 FORMS

 

History Note: Authority G.S. 147‑68; 147‑69.1;

147‑77 to 147‑79; 143A‑31; 8‑45.1 to ‑45.4;

Eff. February 1, 1976;

Repealed Eff. September 15, 1977.

 

SECTION .0200 ‑ GENERAL

 

 

20 NCAC 01C .0201 ORGANIZATION

20 NCAC 01C .0202 PROCEDURAL RIGHTS

 

History Note: Authority G.S. 143A‑31;

Eff. September 15, 1977;

Repealed Eff. March 1, 1985.

 

SECTION .0300 ‑ INVESTMENTS

 

 

20 NCAC 01C .0301 TREASURER'S INVESTMENTS

20 NCAC 01C .0302 INTEREST BEARING TIME DEPOSITS

20 NCAC 01C .0303 INVESTMENTS OF TRUST FUNDS

 

History Note: Authority G.S. 143A‑31; 147‑69.1;

Eff. September 15, 1977;

Repealed Eff. August 1, 1983.

 

SECTION .0400 ‑ BANKING OPERATIONS

 

 

20 NCAC 01C .0401 PROCESSING OF WARRANTS

 

History Note: Authority G.S. 143A‑31;

Eff. September 15, 1977;

Repealed Eff. March 1, 1985.

 

20 NCAC 01C .0402 DISBURSING ACCOUNTS

(a) Disbursing accounts are maintained in a manner similar to regular checking accounts in commercial banks.

(b) All agencies for whom a disbursing account has been established are required to reconcile the monthly statements of the disbursing account within 15 days of the date of the statement.

(c) Stop payments are accepted only when submitted on the authorized form. At the sole discretion of the State Treasurer or his authorized representative, stop payments by phone may be accepted in critical situations, if the required form is submitted concurrently.

(d) The State Treasurer shall collect all alleged forgeries of state warrants, provided that the State Treasurer is notified of the forgery in a timely manner.

 

History Note: Authority G.S. 143A‑31;

Eff. September 15, 1977;

Amended Eff. March 1, 1985;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

20 NCAC 01C .0403 RECORDS MAINTAINED ON MICROFILM

 

History Note: Authority G.S. 143A‑31;

Eff. September 15, 1977;

Repealed Eff. March 1, 1985.

 

20 NCAC 01C .0404 PROCEDURES FOR DEMAND DEPOSIT ACCOUNTS OF STATE FUNDS

(a) The State Treasurer or his authorized representative are the only persons authorized to designate a financial institution as the depository for a state agency. The criteria for designation of a depository are the safety of the deposits, minimum cost of the entire set of transactions to the state, and other factors unique to each request. The name of the demand deposit account shall be: "(Name of State Treasurer), Treasurer, State of North Carolina, Raleigh, North Carolina."

(b) Each state agency, department or institution shall deposit exclusively either with the Operations Section of the Department or with a depository, as specifically instructed by the State Treasurer.

(c) The depository's regular deposit form shall be used and shall be headed as follows: "(Name of State Treasurer), Treasurer, State of North Carolina, by (Name of State Agency)." This form which is supplied by the depository, is completed by the agency in duplicate.

(d) Official forms are prescribed for use by the agencies of the state to report funds deposited in a depository to the account of the State Treasurer. The form applicable to the funds deposited shall be completed by the depositing agency and shall be submitted in duplicate to the State Treasurer certifying that the total funds as indicated have been deposited in the depository to the account of the State Treasurer.

(e) If the depository does not collect an item that was previously included in a deposit and credited to the account of the State Treasurer, the returned item is to be forwarded by the depository as a "cash item" to the depositing agency with a request for direct and immediate reimbursement. The accounting procedures of the State Treasurer and the Director of the Budget will not permit charges to the account of the State Treasurer.

(f) If an error is discovered in the deposit, the depository's notice of correction shall be forwarded to the depositing agency with a duplicate copy to the State Treasurer.

(g) The periodic account statements of the depository shall be forwarded to the State Treasurer for audit and reconciliation purposes. The statement is required even though there may have been no activity in the account during the preceding month.

(h) All checks, drafts or money orders made payable to an agency, institution or department of the state shall be deposited to the account of the State Treasurer. Under no circumstances may an item be converted into cash. When an agency receives funds other than funds required by law to be deposited to the account of the State Treasurer, such funds shall be deposited in a separate deposit account to be administered by the depositing agency since such funds do not come under the jurisdiction of the State Treasurer.

 

History Note: Authority G.S. 147‑78;

Eff. September 15, 1977;

Amended Eff. March 1, 1985;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

SECTION .0500 ‑ SAFETY OF DEPOSITS

 

20 NCAC 01C .0501 SURETY BONDS AND COLLATERAL SECURITIES

20 NCAC 01C .0502 FORMS

 

History Note: Authority G.S. 143A‑31; 147‑78; 147‑79;

Eff. September 15, 1977;

Repealed Eff. August 1, 1983.

 

 

 

SUBCHAPTER 1D ‑ THE ESCHEAT FUND OF NORTH CAROLINA

 

20 NCAC 01D .0101 ORGANIZATION AND PURPOSE

20 NCAC 01D .0102 FILING ANNUAL REPORT

20 NCAC 01D .0103 FORMS

20 NCAC 01D .0104 DECEDENTS' ESTATES

20 NCAC 01D .0105 SAMPLE REPORTING ORGANIZATIONS

20 NCAC 01D .0106 STATUTORY HOLDING PERIODS

20 NCAC 01D .0107 UNCLAIMED FUNDS HELD BY LIFE INSURANCE COMPANIES

20 NCAC 01D .0108 PUBLICATION; PERSONS WITH ESCHEATED PROPERTY

20 NCAC 01D .0109 STATUTE OF LIMITATIONS

20 NCAC 01D .0110 BALANCE SHEET REQUIRED OF CERTAIN EMPLOYERS

20 NCAC 01D .0111 DISBURSEMENT OF INCOME AND CORPUS

20 NCAC 01D .0112 INVESTMENT OF ESCHEAT FUND CORPUS

20 NCAC 01D .0113 RELEASE OF LIABILITY FOR PAYMENT TO THE ESCHEAT FUND

20 NCAC 01D .0114 SALE OF PROPERTY ESCHEATED

20 NCAC 01D .0115 REFUND OF ESCHEATED FUNDS

20 NCAC 01D .0116 REFUND OF LIFE INSURANCE FUNDS

20 NCAC 01D .0117 PENALTY FOR FAILURE TO MAKE REPORTS

20 NCAC 01D .0118 RECORDS

20 NCAC 01D .0119 PROCEDURES AND RULE‑MAKING AUTHORITY

 

History Note: Authority G.S. 116A‑1 through 116A‑11;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Repealed Eff. February 1, 1982.

 

 

 

SUBCHAPTER 01E ‑ STATE DEBT MANAGEMENT

 

20 NCAC 01E .0101 PUBLIC DEBT MANAGEMENT AND SALE OF STATE'S OBLIGATIONS

20 NCAC 01E .0102 SUBMISSION OF BIDS FOR SALE OF BONDS AND NOTES

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Expired Eff. May 1, 2016 pursuant to G.S. 150B-21.3A.

 

20 NCAC 01E .0103 INVESTMENTS OF FUND BALANCES AND TRUST FUNDS

 

History Note: Authority G.S. 147‑69.1; 143A‑31;

Eff. February 1, 1976;

Repealed Eff. September 15, 1977.

 

20 NCAC 01E .0104 NEGOTIATED SALE OF BONDS AND NOTES

 

History Note: Authority G.S. 143A‑31;

Eff. September 15, 1977;

Expired Eff. May 1, 2016 pursuant to G.S. 150B-21.3A.

 

 

 

SUBCHAPTER 01F ‑ PROCEDURAL RIGHTS

 

SECTION .0100 ‑ RULE‑MAKING PROCEDURES

 

20 NCAC 01F .0101 ESTABLISHMENT OF PROCEDURAL RIGHTS

The following rule‑making procedures are established for the Department of State Treasurer and are applicable to each division within the department unless a division has set out different rule‑making procedures in its own rules, within this Title.

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

20 NCAC 01F .0102 CORRESPONDENCE

All correspondence within the Department of State Treasurer should be addressed to the division within the department.

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

20 NCAC 01F .0103 PETITIONING FOR RULE‑MAKING

20 NCAC 01F .0104 NOTICE OF RULE‑MAKING HEARING

20 NCAC 01F .0105 LOCATION OF HEARING

20 NCAC 01F .0106 ORAL PRESENTATION

20 NCAC 01F .0107 WRITTEN SUBMISSION

20 NCAC 01F .0108 PRESIDING OFFICER

20 NCAC 01F .0109 REQUEST FOR STATEMENT OF REASON

20 NCAC 01F .0110 RECORD OF PROCEEDINGS

 

History Note: Authority G.S. 143A‑31; 150B‑11; 150B‑12; 150B‑16; 116B‑42;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Amended Eff. July 1, 1987;

Expired Eff. May 1, 2016 pursuant to G.S. 150B-21.3A.

 

SECTION .0200 ‑ DECLARATORY RULINGS

 

20 NCAC 01F .0201 ESTABLISHMENT OF PROCEDURAL RIGHTS

The following declaratory ruling procedures are established for the Department of State Treasurer and are applicable to each division within the department, unless a division has set out different procedures concerning declaratory rulings in its own rules, within this Title.

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

20 NCAC 01F .0202 REQUESTS FOR RULING

 

History Note: Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Expired Eff. May 1, 2016 pursuant to G.S. 150B-21.3A.

 

20 NCAC 01F .0203 FORM OF REQUESTS

All requests for a declaratory ruling must include the following information:

(1) name, address and telephone number of petitioner;

(2) statute or rule to which petition relates;

(3) concise statement of the manner in which petitioner is aggrieved by the rule or statute, or its potential application to him;

(4) a statement of whether an oral hearing is desired, and if so, the reasons for such an oral hearing.

 

History Note: Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

20 NCAC 01F .0204 WHO MAKES RULING

The chief officer shall have the power to make such declaratory rulings. All requests for declaratory rulings shall be written and mailed to the chief officer.

 

History Note: Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

20 NCAC 01F .0205 REFUSAL

20 NCAC 01F .0206 ISSUANCE

 

History Note: Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Expired Eff. May 1, 2016 pursuant to G.S. 150B-21.3A.

 

20 NCAC 01F .0207 RULING PROCEDURES

Declaratory ruling procedures may consist of written submissions, an oral hearing, or such other procedures as may be appropriate in a particular case.

 

History Note: Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.

 

SECTION .0300 ‑ CONTESTED CASE PROCEDURES

 

20 NCAC 01F .0301 PROCEDURES FOR CONTESTED CASES

 

History Note: Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Amended Eff. August 1, 1988;

Expired Eff. May 1, 2016 pursuant to G.S. 150B-21.3A.

 

20 NCAC 01F .0302 REQUEST FOR A CONTESTED CASE HEARING

20 NCAC 01F .0303 NOTICE

20 NCAC 01F .0304 WAIVER OF OPPORTUNITY FOR A HEARING

20 NCAC 01F .0305 HEARING OFFICERS IN CONTESTED CASES: DISQUALIFICATIONS

20 NCAC 01F .0306 PLACE OF HEARING

20 NCAC 01F .0307 INTERVENTION

20 NCAC 01F .0308 FAILURE TO APPEAR

20 NCAC 01F .0309 WRITTEN ANSWERS TO NOTICE

20 NCAC 01F .0310 SIMPLIFICATION OF ISSUES

20 NCAC 01F .0311 SUBPOENAS

20 NCAC 01F .0312 DEPOSITIONS

20 NCAC 01F .0313 PROPOSAL FOR DECISION

20 NCAC 01F .0314 FINAL AGENCY DECISIONS

 

History Note: Authority G.S. 143A‑31; 150B‑23; 150B‑24; 150B‑25; 150B‑27; 150B‑28; 150B‑31; 150B‑32; 150B‑34; 150B‑36; 1A‑1, Rules 26‑33;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Repealed Eff. August 1, 1988.

 

 

 

subchapter 01g investment program

 

section .0100 general provisions

 

20 NCAC 01G .0101 DESCRIPTION OF THE PROGRAM

20 NCAC 01G .0102 DEFINITIONS

20 NCAC 01G .0103 PRINCIPLES OF ACCOUNTING AND VALUATION

20 NCAC 01G .0104 ACCOUNTING FOR EXCHANGES

20 NCAC 01G .0105 ALLOCATION OF MANAGEMENT COSTS

20 NCAC 01G .0106 CONSOLIDATION OF EXISTING INVESTMENTS OF PARTICIPANTS

20 NCAC 01G .0107 MERGERS OF ADDITIONAL INVESTMENT PORTFOLIOS

20 NCAC 01G .0108 LOANS BETWEEN INVESTMENT FUNDS

20 NCAC 01G .0109 DELEGATION OF AUTHORITY

 

History Note: Authority G.S. 147-69.3;

Emergency Regulation Eff. July 1, 1979, for a Period of 120 Days to Expire on October 29, 1979;

Made Permanent Eff. October 29, 1979;

Amended Eff. November 1, 1990; March 1, 1985; June 1, 1984; November 1, 1983; October 1, 1983; February 1, 1982;

Repealed Eff. February 1, 2015.

 

section .0200 short-term investment funds

 

20 NCAC 01G .0201 GENERAL

20 NCAC 01G .0202 ELIGIBLE INVESTMENTS

20 NCAC 01G .0203 ELIGIBLE PARTICIPANTS

20 NCAC 01G .0204 ALLOCATION OF INCOME TO PARTICIPANTS

 

History Note: Authority G.S. 147-69.3;

Emergency Regulation Eff. July 1, 1979, for a Period of 120 Days to Expire on October 29, 1979;

Made Permanent Eff. October 29, 1979;

Amended Eff. July 1, 1987; June 1, 1984; February 1, 1982; October 29, 1979;

Repealed Eff. February 1, 2015.

 

20 NCAC 01G .0205 WARRANTS DRAWN ON NON‑STATE FUNDS

20 NCAC 01G .0206 WARRANTS RETURNED WITHOUT PAYMENT

 

History Note: Authority G.S. 147‑69.3(b),(j);

Eff. October 1, 1983;

Repealed Eff. June 1, 1986.

 

20 NCAC 01G .0207 VOLUNTARY DEPOSITS FOR INVESTMENTS

 

History Note: Authority G.S. 147-69.3(b),(j);

Eff. June 1, 1986;

Repealed Eff. February 1, 2015.

 

section .0300 long-term investment fund

 

20 NCAC 01G .0301 GENERAL

20 NCAC 01G .0302 ELIGIBLE INVESTMENTS

20 NCAC 01G .0303 ELIGIBLE PARTICIPANTS

20 NCAC 01G .0304 ALLOCATION OF INCOME TO PARTICIPANTS

20 NCAC 01G .0305 VALUATION OF OWNERSHIP UNITS

20 NCAC 01G .0306 PURCHASE OF OWNERSHIP UNITS

20 NCAC 01G .0307 REDEMPTION OF OWNERSHIP UNITS

 

History Note: Authority G.S. 147-69.3;

Emergency Regulation Eff. July 1, 1979, for a Period of 120 Days to Expire on October 29, 1979;

Made Permanent Eff. October 29, 1979;

Amended Eff. June 1, 1984; February 1, 1982;

Repealed Eff. February 1, 2015.

 

section .0400 - EQUITY INVESTMENT FUND

 

20 NCAC 01G .0401 GENERAL

20 NCAC 01G .0402 ELIGIBLE INVESTMENTS

20 NCAC 01G .0403 ELIGIBLE PARTICIPANTS

20 NCAC 01G .0404 ALLOCATION OF INCOME TO PARTICIPANTS

20 NCAC 01G .0405 VALUATION OF OWNERSHIP UNITS

20 NCAC 01G .0406 PURCHASE OF OWNERSHIP UNITS

20 NCAC 01G .0407 REDEMPTION OF OWNERSHIP UNITS

20 NCAC 01G .0408 RESPONSIBILITY OF EQUITY INVESTMENT ADVISORY COMMITTEE

 

History Note: Authority G.S. 147-69.3;

Emergency Regulation Eff. July 1, 1979, for a Period of 120 Days to Expire on October 29, 1979;

Made Permanent Eff. October 29, 1979;

Amended Eff. October 1, 1987; July 1, 1987; June 1, 1984; February 1, 1982; October 29, 1979;

Repealed Eff. February 1, 2015.

 

20 NCAC 01G .0409 REBALANCING OF OWNERSHIP

 

History Note: Authority G.S. 147-69.3;

Eff. February 1, 1982;

Repealed Eff. February 1, 2015.

 

section .0500 - REAL ESTATE INVESTMENT FUND

 

20 NCAC 01G .0501 GENERAL

20 NCAC 01G .0502 ELIGIBLE INVESTMENTS

20 NCAC 01G .0503 ELIGIBLE PARTICIPANTS

20 NCAC 01G .0504 ALLOCATION OF INCOME TO PARTICIPANTS

20 NCAC 01G .0505 VALUATION OF OWNERSHIP UNITS

20 NCAC 01G .0506 PURCHASE OF OWNERSHIP UNITS

20 NCAC 01G .0507 REDEMPTION OF OWNERSHIP UNITS

 

History Note: Authority G.S. 147-69.3(j);

Eff. June 1, 1984;

Amended Eff. December 1, 1987;

Repealed Eff. February 1, 2015.

 

20 NCAC 01G .0508 REBALANCING OF OWNERSHIP

 

History Note: Authority G.S. 147-69.3;

Eff. December 1, 1987;

Repealed Eff. February 1, 2015.

 

 

 

subchapter 01h - MASTER TRUST FOR SAFEKEEPING OF SECURITIES

 

section .0100 - general

 

20 NCAC 01H .0101 GENERAL INFORMATION

20 NCAC 01H .0102 DEFINITION OF TERMS

20 NCAC 01H .0103 MINIMUM STANDARDS

20 NCAC 01H .0104 DELEGATION OF AUTHORITY

 

History Note: Authority G.S. 147-78.1;

Eff. December 1, 1985;

Repealed Eff. February 1, 2015.

section .0200 -CERTIFICATION OF MASTER TRUST

 

20 NCAC 01H .0201 REQUIREMENTS FOR THE RFP

20 NCAC 01H .0202 ISSUANCE OF THE RFP

20 NCAC 01H .0203 CONTRACT PERIOD: TERMINATION OF TRUSTEE

20 NCAC 01H .0204 TERMINATION FOR CAUSE

20 NCAC 01H .0205 AVAILABILITY OF RECORDS

 

History Note: Authority G.S. 147-78.1;

Eff. December 1, 1985;

Repealed Eff. February 1, 2015.

 

section .0300 - OPERATION OF MASTER TRUST

 

20 NCAC 01H .0301 ESTABLISHMENT OF INDIVIDUAL ACCOUNTS

20 NCAC 01H .0302 ELIGIBLE SECURITIES: CASH DEPOSITS

20 NCAC 01H .0303 DEPOSIT OF CASH OR SECURITIES

20 NCAC 01H .0304 SUBSTITUTION OF SECURITIES

20 NCAC 01H .0305 REQUIRED REPORTING

20 NCAC 01H .0306 WITHDRAWAL OF CASH OR SECURITIES

20 NCAC 01H .0307 FEES

 

History Note: Authority G.S. 147-78.1;

Eff. December 1, 1985;

Repealed Eff. February 1, 2015.

 

section .0400 - DEFAULT BY DEPOSITOR

 

20 NCAC 01H .0401 NOTIFICATION OF DEFAULT

20 NCAC 01H .0402 SALE OF SECURITIES AFTER DEFAULT

 

History Note: Authority G.S. 147-78.1;

Eff. December 1, 1985;

Repealed Eff. February 1, 2015.