§ 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 (a) The Securities Law of the State of North Carolina, G.S. 78-1 through 78-25, is repealed except as saved in this section.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-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 […]
§ 78A-40 – Alternative methods of registration.
78A-40. Alternative methods of registration. (a) The Administrator may by rule or order provide an alternative method of registration by which any dealer or salesman acting in that capacity or as a principal may satisfy the requirements of this Article by furnishing the information otherwise required to be filed pursuant to this Article. The Administrator […]
§ 78A-45 – Administration of Chapter.
78A-45. Administration of Chapter. (a) This Chapter shall be administered by the Secretary of State. The Secretary of State as Administrator may delegate all or part of the authority under this Chapter to the Deputy Securities Administrator including, but not limited to, the authority to conduct hearings, make, execute and issue final agency orders and […]
§ 78A-46 – Investigations and subpoenas.
78A-46. Investigations and subpoenas. (a) The Administrator in his discretion (1) May make any investigation within or outside of this State as the Administrator deems necessary to determine whether any person has violated or is about to violate any provision of this Chapter or any rule or order hereunder, or to aid in the enforcement […]
§ 78A-47 – Injunctions; cease and desist orders.
78A-47. Injunctions; cease and desist orders. (a) Whenever it appears to the Administrator that any person has engaged or is about to engage in any act or practice constituting a violation of any provision of this Chapter or any rule or order hereunder, he may in his discretion bring an action in any court of […]