§ 78A-58 – Obstruction of investigation.
78A-58. Obstruction of investigation. A person is guilty of a Class H felony if the person willfully does any of the following for the purpose of interfering with the performance of any audit, examination, or investigation by the Administrator under this Chapter: (1) Makes or causes to be made to the Administrator or the Administrator’s […]
§ 78A-63 – Scope of the Chapter; service of process.
78A-63. Scope of the Chapter; service of process. (a) G.S. 78A-8, 78A-10, 78A-13, 78A-14, 78A-24, 78A-31, 78A-36(a), and 78A-56 apply to persons who sell or offer to sell when (i) an offer to sell is made in this State, or (ii) an offer to buy is made and accepted in this State. (b) G.S. 78A-8, […]
§ 78A-64 – Statutory policy.
78A-64. Statutory policy. This Chapter shall be so construed as to effectuate its general purpose to make uniform the law of those states which enact it and to coordinate the interpretation and administration of this Chapter with the related federal regulation. (1973, c. 1380.)
§ 78A-65 – Repeal and saving provisions.
78A-65. Repeal and saving provisions. (a) The Securities Law of the State of North Carolina, G.S. 78-1 through 78-25, is repealed except as saved in this section. (b) Prior law exclusively governs all suits, actions, prosecution, or proceedings which are pending or may be initiated on the basis of facts or circumstances occurring before April […]
§ 78A-66 – Jurisdictional limitations.
78A-66. Jurisdictional limitations. Nothing in this Chapter affects the Viatical Settlements Act or the jurisdiction of the North Carolina Department of Insurance. (2001-436, s. 14.)
§ 78A-49 – Rules, forms, orders, and hearings.
78A-49. Rules, forms, orders, and hearings. (a) The Administrator may from time to time make, amend, and rescind such rules, forms, and orders as are necessary to carry out the provisions of this Chapter, including rules and forms governing registration statements, applications, and reports, and defining any terms, whether or not used in this Chapter, […]
§ 78A-50 – Administrative files and opinions.
78A-50. Administrative files and opinions. (a) A document is filed when it is received by the Administrator. (b) The Administrator shall keep a register of all applications for registration and registration statements which are or have been effective under this Chapter and all denial, suspension, or revocation orders which have been entered under this Chapter. […]
§ 78A-56 – Civil liabilities.
78A-56. Civil liabilities. (a) Any person who: (1) Offers or sells a security in violation of G.S. 78A-8(1), 78A-8(3), 78A-10(b), 78A-13, 78A-14, 78A-24, or 78A-36(a), or of any rule or order under G.S. 78A-49(d) which requires the affirmative approval of sales literature before it is used, or of any condition imposed under G.S. 78A-27(d) or […]
§ 78A-57 – Criminal penalties.
78A-57. Criminal penalties. (a) Any person who willfully violates any provision of this Chapter except G.S. 78A-8, 78A-9, 78A-11, 78A-12, 78A-13, or 78A-14 is guilty of a Class I felony. (a1) Any person who willfully violates any rule or order under this Chapter is guilty of a Class I felony. No person may be imprisoned […]
§ 78A-39 – Denial, revocation, suspension, censure, cancellation, and withdrawal of registration.
78A-39. Denial, revocation, suspension, censure, cancellation, and withdrawal of registration. (a) The Administrator may by order deny, suspend, or revoke any registration in whole or in part or restrict or limit as to any person, office, function, or activity or censure the registrant if he finds (1) That the order is in the public interest […]