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North Carolina Administrative Code (Last Updated: November 13, 2014) |
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TITLE 18. SECRETARY OF STATE |
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CHAPTER 06. SECURITIES DIVISION |
| SUBCHAPTER A. RECODIFIED RULES |
| 18 NCAC 06A .0101-.0103. REPEALED |
| 18 NCAC 06A .0201-.0213. REPEALED |
| 18 NCAC 06A .0301-.0302. REPEALED |
| 18 NCAC 06A .0401-.0407. REPEALED |
| 18 NCAC 06A .0501-.0504. REPEALED |
| 18 NCAC 06A .0601-.0607. REPEALED |
| 18 NCAC 06A .0701-.0704. REPEALED |
| 18 NCAC 06A .0801-.0803. REPEALED |
| 18 NCAC 06A .0901-.0902. REPEALED |
| 18 NCAC 06A .1001-.1004. REPEALED |
| 18 NCAC 06A .1101. LOCATION AND HOURS |
| 18 NCAC 06A .1102. PURPOSE |
| 18 NCAC 06A .1103. ADMINISTRATION (REPEALED) [REPEALED] |
| 18 NCAC 06A .1104. DEFINITIONS |
| 18 NCAC 06A .1201. DESIGNATED SECURITIES EXCHANGES (REPEALED) [REPEALED] |
| 18 NCAC 06A .1202. RECOGNIZED SECURITIES MANUALS |
| 18 NCAC 06A .1203. INFORMATION FILED BY REGISTERED DEALER |
| 18 NCAC 06A .1204. LIMITED OFFERINGS (REPEALED) [REPEALED] |
| 18 NCAC 06A .1205. LIMITED OFFERINGS PURSUANT TO G.S. 78A‑17(9) |
| 18 NCAC 06A .1206. LIMITED OFFERING EXEMPTION PURSUANT TO G.S. 78A‑17(17) |
| 18 NCAC 06A .1207. DISQUALIFICATIONS FROM RELIANCE UPON CERTAIN EXEMPTIONS |
| 18 NCAC 06A .1208. TRANSACTIONS EXEMPT UNDER RULE .1206: FILING REQUIREMENTS |
| 18 NCAC 06A .1209. NONPROFIT SECURITIES |
| 18 NCAC 06A .1210. SECURITIES EXCHGS/AUTO QUOTATION SYS APPROVED/ADMINISTRATOR |
| 18 NCAC 06A .1211. NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGS |
| 18 NCAC 06A .1212. NOTICE FILING PROCEDURES FOR OFFERINGS OF INVESTMENT COMPANY SECURITIES |
| 18 NCAC 06A .1213. TRANSACTIONAL EXEMPTION PURSUANT TO G.S. 78A‑17(19) |
| 18 NCAC 06A .1301. REGISTRATION BY NOTIFICATION |
| 18 NCAC 06A .1302. REGISTRATION BY COORDINATION |
| 18 NCAC 06A .1303. REGISTRATION BY QUALIFICATION |
| 18 NCAC 06A .1304. SECURITIES REGISTRATION AND FILING FEES |
| 18 NCAC 06A .1305. SPONSORSHIP BY DEALER |
| 18 NCAC 06A .1306. CONFIRMATION OF REGISTRATION |
| 18 NCAC 06A .1307. COMMISSIONS AND EXPENSES |
| 18 NCAC 06A .1308. ADVERTISING |
| 18 NCAC 06A .1309. ADVERTISEMENTS NOT DEEMED PROSPECTUS: ETC. (REPEALED) [REPEALED] |
| 18 NCAC 06A .1310. OFFERING PRICE |
| 18 NCAC 06A .1311. SHELF REGISTRATIONS (REPEALED) [REPEALED] |
| 18 NCAC 06A .1312. REGISTRATION OF REAL ESTATE SECURITIES (REPEALED) [REPEALED] |
| 18 NCAC 06A .1313. REGISTRATION OF DIRECT PARTICIPATION PROGRAM SECURITIES |
| 18 NCAC 06A .1314. ESCROW AGREEMENTS |
| 18 NCAC 06A .1315. NOTICE OF COMPLETION OF OFFERING/FINAL SALES REPORT |
| 18 NCAC 06A .1316. LEGENDS REQUIRED |
| 18 NCAC 06A .1317. AMENDMENT OF FILINGS |
| 18 NCAC 06A .1318. AUTOMATIC WITHDRAWAL OF APPLICATION FOR REGISTRATION |
| 18 NCAC 06A .1319. REQUIRED DISCLOSURES: VIATICAL SETTLEMENT CONTRACTS |
| 18 NCAC 06A .1320. VIATICAL SETTLEMENT CONTRACT SUITABILITY REQUIREMENTS |
| 18 NCAC 06A .1401. APPLICATION FOR REGISTRATION OF DEALERS |
| 18 NCAC 06A .1402. APPLICATION FOR REGISTRATION OF SALESMEN |
| 18 NCAC 06A .1403. TERMINATION OF REGISTRATION OF DEALER |
| 18 NCAC 06A .1404. CHANGE IN NAME OF DEALER |
| 18 NCAC 06A .1405. DEALER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSION |
| 18 NCAC 06A .1406. EXPIRATION AND RENEWAL OF DEALER REGISTRATION |
| 18 NCAC 06A .1407. EXPIRATION AND RENEWAL OF SALESMAN'S REGISTRATION |
| 18 NCAC 06A .1408. TERMINATION OF SALESMAN'S REGISTRATION |
| 18 NCAC 06A .1409. TRANSFER OF SALESMAN'S REGISTRATION |
| 18 NCAC 06A .1410. MINIMUM FINANCIAL REQUIREMENTS FOR DEALERS |
| 18 NCAC 06A .1411. RECORD KEEPING REQUIREMENTS FOR DEALERS |
| 18 NCAC 06A .1412. FINANCIAL STATEMENTS |
| 18 NCAC 06A .1413. SALESMAN EXAMINATION REQUIRED |
| 18 NCAC 06A .1414. DISHONEST/UNETHICAL PRACTICES OF DEALERS AND SALESMEN |
| 18 NCAC 06A .1415. REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORS |
| 18 NCAC 06A .1416. REPORTING REQUIREMENTS OF DEALERS AND SALESMEN |
| 18 NCAC 06A .1417. APPLICATION FOR LIMITED REGISTRATION OF CANADIAN SECURITIES DEALERS AND SALESMEN |
| 18 NCAC 06A .1501. RESCISSION OFFERS |
| 18 NCAC 06A .1502. APPLICATION TO EXCHANGE SECURITIES |
| 18 NCAC 06A .1503. FORM OF CONSENT TO SERVICE OF PROCESS |
| 18 NCAC 06A .1504. REQUEST FOR INTERPRETATIVE OPINIONS: NO‑ACTION LETTERS |
| 18 NCAC 06A .1505. LEGENDS REQUIRED (REPEALED) [REPEALED] |
| 18 NCAC 06A .1506. PUBLIC INFORMATION (REPEALED) [REPEALED] |
| 18 NCAC 06A .1507. IMPLICATIONS OF REGISTRATION OR EXEMPTION |
| 18 NCAC 06A .1508. FAILURE TO FURNISH INFORMATION |
| 18 NCAC 06A .1509. FORMS (REPEALED) [REPEALED] |
| 18 NCAC 06A .1510. LIMITED LIABILITY COMPANY MEMBERSHIP INTERESTS AS SECURITIES |
| 18 NCAC 06A .1601. PURPOSE |
| 18 NCAC 06A .1602. PROCEDURE FOR APPLICATION FOR REGISTRATION |
| 18 NCAC 06A .1603. AMENDMENT OF APPLICATION |
| 18 NCAC 06A .1604. OBTAINING CERTIFICATES OF REGISTRATION |
| 18 NCAC 06A .1605. REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (REPEALED) [REPEALED] |
| 18 NCAC 06A .1606. REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (REPEALED) |
| 18 NCAC 06A .1607. FORMS |
| 18 NCAC 06A .1701. DEFINITIONS |
| 18 NCAC 06A .1702. APPLICATION FOR INVESTMENT ADVISER REGISTRATION/NOTICE FILING FOR INVESTMENT ADVISER COVERED UNDER FEDERAL LAW |
| 18 NCAC 06A .1703. APPLICATION/INVESTMENT ADVISER REPRESENTATIVE REGISTRATION |
| 18 NCAC 06A .1704. MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS |
| 18 NCAC 06A .1705. BONDING REQUIREMENTS FOR CERTAIN INVESTMENT ADVISERS |
| 18 NCAC 06A .1706. RECORD‑KEEPING REQUIREMENTS FOR INVESTMENT ADVISERS |
| 18 NCAC 06A .1707. INVESTMENT ADVISER BROCHURE RULE |
| 18 NCAC 06A .1708. FINANCIAL REPORTING REQUIREMENTS FOR INVESTMENT ADVISERS |
| 18 NCAC 06A .1709. EXAM REQUIRE/INVESTMENT ADVISERS: REPRESENTATIVES |
| 18 NCAC 06A .1710. TERMINATION/WITHDRAWAL/INVESTMENT ADVISER REGISTRATIONS |
| 18 NCAC 06A .1711. TRANSFER/INVESTMENT ADVISER REPRESENTATIVE'S REGISTRATION |
| 18 NCAC 06A .1712. CHANGE OF NAME OF INVESTMENT ADVISER (REPEALED) [REPEALED] |
| 18 NCAC 06A .1713. INVEST ADVISER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSION |
| 18 NCAC 06A .1714. REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORS (REPEALED) [REPEALED] |
| 18 NCAC 06A .1715. INVESTMENT ADVISER REGISTRATION DEPOSITORY |
| 18 NCAC 06A .1716. TRANSITION SCHEDULE FOR CONVERSION TO IARD |
| 18 NCAC 06A .1717. CASH PAYMENTS FOR CLIENT SOLICITATIONS |
| 18 NCAC 06A .1801. DISHONEST OR UNETHICAL PRACTICES |
| 18 NCAC 06A .1802. CUSTODY/CLIENT FUNDS OR SECURITIES BY INVESTMENT ADVISERS |
| 18 NCAC 06A .1803. AGENCY CROSS TRANSACTIONS |
| 18 NCAC 06A .1804. EXEMPTION/SECTION 78C‑8(A)(3)/CERTAIN BROKER‑DEALERS |
| 18 NCAC 06A .1805. PERFORMANCE‑BASED COMPENSATION EXEMPTION |
| 18 NCAC 06A .1806. TRANSACTIONS DEEMED NOT TO BE ASSIGNMENTS |
| 18 NCAC 06A .1807. REQUEST FOR INTERPRETATIVE OPINIONS |
| 18 NCAC 06A .1808. SUPERVISION OF INVESTMENT ADVISER REPRESENTATIVES |
| 18 NCAC 06A .1809. PUBLIC INFORMATION (REPEALED) [REPEALED] |
| 18 NCAC 06A .1810. FORM OF CONSENT TO SERVICE OF PROCESS |
| 18 NCAC 06A .1811. FORMS (REPEALED) [REPEALED] |
| 18 NCAC 06A .1901-1906. REPEALED |
| SUBCHAPTER B. GENERAL |
| 18 NCAC 06B .0101. SCOPE |
| 18 NCAC 06B .0102. ADMINISTRATION |
| 18 NCAC 06B .0201. SENIOR DESIGNATION AS DISHONEST OR UNETHICAL PRACTICE |
| SUBCHAPTER C. INVESTIGATIONS, ENFORCEMENT AND HEARINGS |
| 18 NCAC 06C .0101. LETTER OF INQUIRY |
| 18 NCAC 06C .0102. INVESTIGATIVE SUBPOENAS |
| 18 NCAC 06C .0103. ADMINISTRATIVE HEARINGS |
| 18 NCAC 06C .0104. SETTLEMENT |
| 18 NCAC 06C .0105. ARTICLE 3A CONTESTED CASE PROCEDURES |
| 18 NCAC 06C .0106. TEMPORARY ORDERS |
| 18 NCAC 06C .0107. CONDUCT OF HEARING |
| 18 NCAC 06C .0108. FINAL ORDER |