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NCAC > Title 18 - Secretary of State > Chapter 06 - Securities Division
Chapter 06 (consolidated)Securities DivisionHTML | DOC
SubChapter AHTML | DOC
18 NCAC 06A .0101-.0103REPEALEDHTML | DOC
18 NCAC 06A .0201-.0213REPEALEDHTML | DOC
18 NCAC 06A .0301-.0302REPEALEDHTML | DOC
18 NCAC 06A .0401-.0407REPEALEDHTML | DOC
18 NCAC 06A .0501-.0504REPEALEDHTML | DOC
18 NCAC 06A .0601-.0607REPEALEDHTML | DOC
18 NCAC 06A .0701-.0704REPEALEDHTML | DOC
18 NCAC 06A .0801-.0803REPEALEDHTML | DOC
18 NCAC 06A .0901-.0902REPEALEDHTML | DOC
18 NCAC 06A .1001-.1004REPEALEDHTML | DOC
18 NCAC 06A .1101LOCATION AND HOURSHTML | DOC
18 NCAC 06A .1102PURPOSEHTML | DOC
18 NCAC 06A .1103REPEALED - ADMINISTRATION (REPEALED)HTML | DOC
18 NCAC 06A .1104DEFINITIONSHTML | DOC
18 NCAC 06A .1201REPEALED - DESIGNATED SECURITIES EXCHANGES (REPEALED)HTML | DOC
18 NCAC 06A .1202RECOGNIZED SECURITIES MANUALSHTML | DOC
18 NCAC 06A .1203INFORMATION FILED BY REGISTERED DEALERHTML | DOC
18 NCAC 06A .1204REPEALED - LIMITED OFFERINGS (REPEAled)HTML | DOC
18 NCAC 06A .1205LIMITED OFFERINGS PURSUANT TO G.S. 78A-17(9)HTML | DOC
18 NCAC 06A .1206EXPIRED - LIMITED OFFERING EXEMPTION PURSUANT TO G.S. 78A-17(17)HTML | DOC
18 NCAC 06A .1207DISQUALIFICATIONS FROM RELIANCE UPON CERTAIN EXEMPTIONSHTML | DOC
18 NCAC 06A .1208EXPIRED - TRANSACTIONS EXEMPT UNDER RULE .1206: FILING REQUIREMENTSHTML | DOC
18 NCAC 06A .1209NONPROFIT SECURITIESHTML | DOC
18 NCAC 06A .1210SECURITIES EXCHGS/AUTO QUOTATION SYS APPROVED/ADMINISTRATORHTML | DOC
18 NCAC 06A .1211NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGSHTML | DOC
18 NCAC 06A .1212NOTICE FILING PROCEDURES FOR OFFERINGS OF INVESTMENT COMPANY SECURITIESHTML | DOC
18 NCAC 06A .1213TRANSACTIONAL EXEMPTION PURSUANT TO G.S. 78A-17(19)HTML | DOC
18 NCAC 06A .1301REGISTRATION BY NOTIFICATIONHTML | DOC
18 NCAC 06A .1302REGISTRATION BY COORDINATIONHTML | DOC
18 NCAC 06A .1303REGISTRATION BY QUALIFICATIONHTML | DOC
18 NCAC 06A .1304SECURITIES REGISTRATION AND FILING FEESHTML | DOC
18 NCAC 06A .1305SPONSORSHIP BY DEALERHTML | DOC
18 NCAC 06A .1306CONFIRMATION OF REGISTRATIONHTML | DOC
18 NCAC 06A .1307COMMISSIONS AND EXPENSESHTML | DOC
18 NCAC 06A .1308ADVERTISINGHTML | DOC
18 NCAC 06A .1309REPEALED - ADVERTISEMENTS NOT DEEMED PROSPECTUS: ETC. (repealed)HTML | DOC
18 NCAC 06A .1310OFFERING PRICEHTML | DOC
18 NCAC 06A .1311REPEALED - SHELF REGISTRATIONS (repealed)HTML | DOC
18 NCAC 06A .1312REPEALED - REGISTRATION OF REAL ESTATE SECURITIES (repealed)HTML | DOC
18 NCAC 06A .1313REGISTRATION OF DIRECT PARTICIPATION PROGRAM SECURITIESHTML | DOC
18 NCAC 06A .1314ESCROW AGREEMENTSHTML | DOC
18 NCAC 06A .1315NOTICE OF COMPLETION OF OFFERING/FINAL SALES REPORTHTML | DOC
18 NCAC 06A .1316LEGENDS REQUIREDHTML | DOC
18 NCAC 06A .1317AMENDMENT OF FILINGSHTML | DOC
18 NCAC 06A .1318AUTOMATIC WITHDRAWAL OF APPLICATION FOR REGISTRATIONHTML | DOC
18 NCAC 06A .1319required disclosures: viatical settlement contractsHTML | DOC
18 NCAC 06A .1320VIATICAL SETTLEMENT CONTRACT SUITABILITY REQUIREMENTSHTML | DOC
18 NCAC 06A .1401APPLICATION FOR REGISTRATION OF DEALERSHTML | DOC
18 NCAC 06A .1402APPLICATION FOR REGISTRATION OF SALESMENHTML | DOC
18 NCAC 06A .1403TERMINATION OF REGISTRATION OF DEALERHTML | DOC
18 NCAC 06A .1404CHANGE IN NAME OF DEALERHTML | DOC
18 NCAC 06A .1405DEALER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSIONHTML | DOC
18 NCAC 06A .1406EXPIRATION AND RENEWAL OF DEALER REGISTRATIONHTML | DOC
18 NCAC 06A .1407EXPIRATION AND RENEWAL OF SALESMAN'S REGISTRATIONHTML | DOC
18 NCAC 06A .1408TERMINATION OF SALESMAN'S REGISTRATIONHTML | DOC
18 NCAC 06A .1409EXPIRED - TRANSFER OF SALESMAN'S REGISTRATIONHTML | DOC
18 NCAC 06A .1410MINIMUM FINANCIAL REQUIREMENTS FOR DEALERSHTML | DOC
18 NCAC 06A .1411RECORD KEEPING REQUIREMENTS FOR DEALERSHTML | DOC
18 NCAC 06A .1412FINANCIAL STATEMENTSHTML | DOC
18 NCAC 06A .1413SALESMAN EXAMINATION REQUIREDHTML | DOC
18 NCAC 06A .1414DISHONEST/UNETHICAL PRACTICES OF DEALERS AND SALESMENHTML | DOC
18 NCAC 06A .1415REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORSHTML | DOC
18 NCAC 06A .1416REPORTING REQUIREMENTS OF DEALERS AND SALESMENHTML | DOC
18 NCAC 06A .1417APPLICATION FOR LIMITED REGISTRATION OF CANADIAN SECURITIES DEALERS AND SALESMENHTML | DOC
18 NCAC 06A .1501RESCISSION OFFERSHTML | DOC
18 NCAC 06A .1502APPLICATION TO EXCHANGE SECURITIESHTML | DOC
18 NCAC 06A .1503FORM OF CONSENT TO SERVICE OF PROCESSHTML | DOC
18 NCAC 06A .1504REQUEST FOR INTERPRETATIVE OPINIONS: NO-ACTION LETTERSHTML | DOC
18 NCAC 06A .1505REPEALED - LEGENDS REQUIRED (repealed)HTML | DOC
18 NCAC 06A .1506REPEALED - PUBLIC INFORMATION (repealed)HTML | DOC
18 NCAC 06A .1507IMPLICATIONS OF REGISTRATION OR EXEMPTIONHTML | DOC
18 NCAC 06A .1508FAILURE TO FURNISH INFORMATIONHTML | DOC
18 NCAC 06A .1509REPEALED - FORMS (repealed)HTML | DOC
18 NCAC 06A .1510LIMITED LIABILITY COMPANY MEMBERSHIP INTERESTS AS SECURITIESHTML | DOC
18 NCAC 06A .1601-.1604EXPIREDHTML | DOC
18 NCAC 06A .1605REPEALED - REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (repealed)HTML | DOC
18 NCAC 06A .1606EXPIRED - REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (repealed)HTML | DOC
18 NCAC 06A .1607EXPIRED - FORMSHTML | DOC
18 NCAC 06A .1701DEFINITIONSHTML | DOC
18 NCAC 06A .1702APPLICATION FOR INVESTMENT ADVISER REGISTRATION/NOTICE FILING FOR INVESTMENT ADVISER COVERED UNDER FEDERAL LAWHTML | DOC
18 NCAC 06A .1703APPLICATION/INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONHTML | DOC
18 NCAC 06A .1704MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1705BONDING REQUIREMENTS FOR CERTAIN INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1706RECORD-KEEPING REQUIREMENTS FOR INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1707INVESTMENT ADVISER BROCHURE RULEHTML | DOC
18 NCAC 06A .1708FINANCIAL REPORTING REQUIREMENTS FOR INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1709EXAM REQUIRE/INVESTMENT ADVISERS: REPRESENTATIVESHTML | DOC
18 NCAC 06A .1710TERMINATION/WITHDRAWAL/INVESTMENT ADVISER REGISTRATIONSHTML | DOC
18 NCAC 06A .1711EXPIRED - TRANSFER/INVESTMENT ADVISER REPRESENTATIVE'S REGISTRATIONHTML | DOC
18 NCAC 06A .1712REPEALED - CHANGE OF NAME OF INVESTMENT ADVISER (repealed)HTML | DOC
18 NCAC 06A .1713INVEST ADVISER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSIONHTML | DOC
18 NCAC 06A .1714REPEALED - REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORS (repealed)HTML | DOC
18 NCAC 06A .1715INVESTMENT ADVISER REGISTRATION DEPOSITORYHTML | DOC
18 NCAC 06A .1716EXPIRED - TRANSITION SCHEDULE FOR CONVERSION TO IARDHTML | DOC
18 NCAC 06A .1717Cash Payments for Client SolicitationsHTML | DOC
18 NCAC 06A .1801DISHONEST OR UNETHICAL PRACTICESHTML | DOC
18 NCAC 06A .1802CUSTODY/CLIENT FUNDS OR SECURITIES BY INVESTMENT ADVISERSHTML | DOC
18 NCAC 06A .1803AGENCY CROSS TRANSACTIONSHTML | DOC
18 NCAC 06A .1804EXEMPTION/SECTION 78C-8(A)(3)/CERTAIN BROKER-DEALERSHTML | DOC
18 NCAC 06A .1805PERFORMANCE-BASED COMPENSATION EXEMPTIONHTML | DOC
18 NCAC 06A .1806TRANSACTIONS DEEMED NOT TO BE ASSIGNMENTSHTML | DOC
18 NCAC 06A .1807REQUEST FOR INTERPRETATIVE OPINIONSHTML | DOC
18 NCAC 06A .1808SUPERVISION OF INVESTMENT ADVISER REPRESENTATIVESHTML | DOC
18 NCAC 06A .1809REPEALED - PUBLIC INFORMATION (repealed)HTML | DOC
18 NCAC 06A .1810FORM OF CONSENT TO SERVICE OF PROCESSHTML | DOC
18 NCAC 06A .1811REPEALED - FORMS (repealed)HTML | DOC
18 NCAC 06A .1901-1906REPEALEDHTML | DOC
18 NCAC 06A .2001PURPOSEHTML | DOC
18 NCAC 06A .2002SCOPEHTML | DOC
18 NCAC 06A .2003DEFINITIONSHTML | DOC
18 NCAC 06A .2004EXEMPTION LIMITATIONSHTML | DOC
18 NCAC 06A .2005COUNTING SALESHTML | DOC
18 NCAC 06A .2006RESERVED FOR FUTURE CODIFICATIONHTML | DOC
18 NCAC 06A .2007ISSUER FILING REQUIREMENTSHTML | DOC
18 NCAC 06A .2008NOTICE OF INTRASTATE CLAIM OF EXEMPTION FORM REQUIREMENTSHTML | DOC
18 NCAC 06A .2009SIGNING FORM NCEHTML | DOC
18 NCAC 06A .2010CONTENT OF DISCLOSURE DOCUMENTHTML | DOC
18 NCAC 06A .2011REQUIRED STATEMENTS TO INCLUDE IN ISSUER DISCLOSURE DOCUMENTHTML | DOC
18 NCAC 06A .2012CIRCUMSTANCES WHEN ADDITIONAL DISCLOSURE DOCUMENT CONTENT REQUIREDHTML | DOC
18 NCAC 06A .2013ISSUER TO CEASE OFFERING AND AMEND THE DISCLOSURE DOCUMENTHTML | DOC
18 NCAC 06A .2014FACTORS CONSIDERED WHEN reviewING THE CLAIM OF EXEMPTIONHTML | DOC
18 NCAC 06A .2015ADMINISTRATOR'S NOTICE OF COMPLIANCEHTML | DOC
18 NCAC 06A .2016DENIAL OR REVOCATION OF THE EXEMPTIONHTML | DOC
18 NCAC 06A .2017ESCROW ACCOUNTHTML | DOC
18 NCAC 06A .2018ISSUER TO PROVIDE INFORMATION TO THE ESCROW AGENTHTML | DOC
18 NCAC 06A .2019TERMS OF ESCROW AGREEMENTHTML | DOC
18 NCAC 06A .2020review of the Escrow AgreementHTML | DOC
18 NCAC 06A .2021ADMINISTRATOR'S REJECTION OF ESCROW AGREEMENTHTML | DOC
18 NCAC 06A .2022ADMINISTRATOR NOTICE OF APPROVAL OR REJECTION OF ESCROW AGREEMENTHTML | DOC
18 NCAC 06A .2023ESCROW AGENT Duties, Responsibilities, and STANDARDS OF CONDUCTHTML | DOC
18 NCAC 06A .2024NOTICE TO ADMINISTRATOR minimum OFFERING amount REACHED, FUNDS RELEASED FROM The ESCROW Account, ANDHTML | DOC
18 NCAC 06A .2025CONTENT OF NOTICE OF RELEASE OF FUNDS FROM ESCROW ACCOUNTHTML | DOC
18 NCAC 06A .2026REgistered Dealer ACTING AS AN ESCROW AGENTHTML | DOC
18 NCAC 06A .2027ESCROW AGENT REQUIREMENTSHTML | DOC
18 NCAC 06A .2028TREATMENT OF INFORMATIONHTML | DOC
18 NCAC 06A .2029RESERVED FOR FUTURE CODIFICATIONHTML | DOC
18 NCAC 06A .2030FUNDING PORTAL REGISTRATIONHTML | DOC
18 NCAC 06A .2031CONTENTS OF FORM NCFPHTML | DOC
18 NCAC 06A .2032REQUIRED FUNDING PORTAL ATTESTATIONSHTML | DOC
18 NCAC 06A .2033review OF THE FUNDING PORTAL REGISTRATIONHTML | DOC
18 NCAC 06A .2034ADMINISTRATOR DENIAL OR REVOCATION OF FUNDING PORTAL REGISTRATIONHTML | DOC
18 NCAC 06A .2035ADMINISTRATOR NOTICE OF effective FUNDING PORTAL REGISTRATIONHTML | DOC
18 NCAC 06A .2036FUNDING PORTAL NOTICE TO ADMINISTRATOR OF changesHTML | DOC
18 NCAC 06A .2037FUNDING PORTAL FINANCIAL INTEREST IN ISSUERHTML | DOC
18 NCAC 06A .2038FUNDING PORTAL DENIAL OF ACCESSHTML | DOC
18 NCAC 06A .2039FUNDING PORTAL STANDARDS OF CONDUCTHTML | DOC
18 NCAC 06A .2040RESERVED FOR FUTURE CODIFICATIONHTML | DOC
18 NCAC 06A .2041limitations on general solicitation and advertisingHTML | DOC
18 NCAC 06A .2042MEDIA COVERAGE OF A SECURITIES OFFERING USING THE EXEMPTIONHTML | DOC
18 NCAC 06A .2043Mandatory CONTENT requirement in permitted ADVERTISING NOTICEHTML | DOC
18 NCAC 06A .2044OTHER REQUIREMENTS FOR PERMITTED ADVERTISING NOTICESHTML | DOC
18 NCAC 06A .2045ESTABLISHING A PLATFORMHTML | DOC
18 NCAC 06A .2046INDIVIDUALS NOT SUBJECT TO DEALER REGISTRATIONHTML | DOC
18 NCAC 06A .2047RETENTION OF PLATFORM COMMUNICATIONSHTML | DOC
18 NCAC 06A .2048ADMINISTRATION OF PLATFORM COMMUNICATION CHANNELSHTML | DOC
18 NCAC 06A .2049additional communication channel requirementsHTML | DOC
18 NCAC 06A .2050RESERVED FOR FUTURE CODIFICATIONHTML | DOC
18 NCAC 06A .2051PROVIDING Documents TO PROSPECTIVE INVESTORS AND INVESTORSHTML | DOC
18 NCAC 06A .2052MANNER OF PROVIDING DISCLOSURE AND OTHER DOCUMENTS TO A PROSPECTIVE INVESTOR OR AN INVESTORHTML | DOC
18 NCAC 06A .2053ISSUER SHALL REQUIRE INVESTOR ACTIONSHTML | DOC
18 NCAC 06A .2054INVESTOR CANCELLATION OF INVESTMENT COMMITMENTHTML | DOC
18 NCAC 06A .2055RELEASE OF FUNDS IN ESCROW ACCOUNTHTML | DOC
18 NCAC 06A .2056ISSUER NOTICE TO INVESTORS MINIMUM OFFERING AMOUNT REACHEDHTML | DOC
18 NCAC 06A .2057Quarterly ReportsHTML | DOC
18 NCAC 06A .2058CONCLUSION OF the offeringHTML | DOC
18 NCAC 06A .2059RESERVED FOR FUTURE CODIFICATIONHTML | DOC
18 NCAC 06A .2060ISSUER RECORDKEEPING REQUIREMENTSHTML | DOC
18 NCAC 06A .2061FUNDING PORTAL RECORDKEEPING REQUIREMENTSHTML | DOC
18 NCAC 06A .2062REQUIREMENT FOR RETENTION OF ORIGINAL OR EQUIVALENTHTML | DOC
18 NCAC 06A .2063PROTECTION OF INVESTORS AGAINST FRAUD AND OTHER MISCONDUCTHTML | DOC
18 NCAC 06A .2064INTEGRATIONHTML | DOC
18 NCAC 06A .2065REQUEST FOR WAIVERHTML | DOC
18 NCAC 06A .2066FACTORS ADMINISTRATOR MAY CONSIDER WITH REGARD TO WAIVER REQUESTSHTML | DOC
18 NCAC 06A .2067ADMINISTRATOR NOTICE OF APPROVAL OR DENIAL OF A WAIVERHTML | DOC
18 NCAC 06A .2068SIGNATURESHTML | DOC
18 NCAC 06A .2069ELECTRONIC SIGNATUREHTML | DOC
18 NCAC 06A .2070SIGNATURE VERIFIES INFORMATION IS TRUEHTML | DOC
18 NCAC 06A .2071FILING WITH THE ADMINISTRATORHTML | DOC
18 NCAC 06A .2072RESERVED FOR FUTURE CODIFICATIONHTML | DOC
18 NCAC 06A .2073FILING ELECTRONICALLYHTML | DOC
18 NCAC 06A .2074AMENDING A DOCUMENT FILED WITH THE ADMINISTRATORHTML | DOC
18 NCAC 06A .2075ABANDONMENT OR WITHDRAWAL OF FILINGHTML | DOC
18 NCAC 06A .2076CALCULATION OF TIMEHTML | DOC
18 NCAC 06A .2101PURPOSEHTML | DOC
18 NCAC 06A .2102SCOPEHTML | DOC
18 NCAC 06A .2103DEFINITIONSHTML | DOC
18 NCAC 06A .2104LPO LIMITATIONSHTML | DOC
18 NCAC 06A .2105MANDATORY CONFERENCEHTML | DOC
18 NCAC 06A .2106FILING REQUIREMENTS FOR lpoHTML | DOC
18 NCAC 06A .2107CONTENTS OF FORM NCE-LPOHTML | DOC
18 NCAC 06A .2108ADDITIONAL LEGEND REQUIREMENT FOR DISCLOSURE DOCUMENTHTML | DOC
18 NCAC 06A .2109ESCROW PROVISIONSHTML | DOC
18 NCAC 06A .2110OPTIONAL USE OF INTERNET BY AN ISSUER OF AN LPOHTML | DOC
18 NCAC 06A .2111GENERAL SOLICITATION AND ADVERTISING FILING REQUIREMENTSHTML | DOC
18 NCAC 06A .2112GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS REQUIREDHTML | DOC
18 NCAC 06A .2113GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS NOT REQUIREDHTML | DOC
18 NCAC 06A .2114UNACCEPTABLE GENERAL SOLICITATION AND ADVERTISINGHTML | DOC
18 NCAC 06A .2115ADMINISTRATOR ADVISORY REVIEW OF GENERAL SOLICITATION AND ADVERTISING MATERIALSHTML | DOC
18 NCAC 06A .2116RECORDKEEPING REQUIREMENTSHTML | DOC
18 NCAC 06A .2117PROHIBITED LPO ISSUER BUSINESSESHTML | DOC
18 NCAC 06A .2118ADMINISTRATOR MAY Consider CERTAIN OTHER business structuresHTML | DOC
18 NCAC 06A .2119Review OF THE ISSUER BUSINESS STrUCTUREHTML | DOC
18 NCAC 06A .2120SUNSET PROVISIONHTML | DOC
 
SubChapter BHTML | DOC
18 NCAC 06B .0101SCOPEHTML | DOC
18 NCAC 06B .0102ADMINISTRATIONHTML | DOC
18 NCAC 06B .0201SENIOR DESIGNATION AS DISHONEST OR UNETHICAL PRACTICEHTML | DOC
 
SubChapter CHTML | DOC
18 NCAC 06C .0101LETTER OF INQUIRYHTML | DOC
18 NCAC 06C .0102INVESTIGATIVE SUBPOENASHTML | DOC
18 NCAC 06C .0103ADMINISTRATIVE HEARINGSHTML | DOC
18 NCAC 06C .0104SETTLEMENTHTML | DOC
18 NCAC 06C .0105ARTICLE 3A CONTESTED CASE PROCEDURESHTML | DOC
18 NCAC 06C .0106TEMPORARY ORDERSHTML | DOC
18 NCAC 06C .0107CONDUCT OF HEARINGHTML | DOC
18 NCAC 06C .0108FINAL ORDERHTML | DOC
 
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