18 NCAC 06A .1711         TRANSFER/INVESTMENT ADVISER REPRESENTATIVE'S REGISTRATION

History Note:        Authority G.S. 78C‑16(a); 78C‑16(b); 78C‑17(a); 78C‑17(b); 78C-20: 78C‑30(a); 78C‑30(b);

Temporary Rule Eff. January 2, 1989 for a Period of 180 Days to Expire on June 30, 1989;

Eff. February 1, 1989;

Temporary Amendment Eff. January 14, 2002;

Amended Eff. April 1, 2003;

Expired Eff. January 1, 2017 pursuant to G.S. 150B-21.3A.