§ 78A-26 – Registration by coordination.
78A-26. Registration by coordination. (a) Any security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination. (b) A registration statement under this section shall contain the following information and be accompanied by the following documents in addition to the […]
§ 78A-27 – Registration by qualification.
78A-27. Registration by qualification. (a) Any security may be registered by qualification upon the following conditions. (b) A registration statement under this section shall contain the following information and be accompanied by the following documents in addition to the information specified in G.S. 78A-28(c) and the consent to service of process required by G.S. 78A-63(f): […]
§ 78A-28 – Provisions applicable to registration generally.
78A-28. Provisions applicable to registration generally. (a) A registration statement may be filed by the issuer, any other person on whose behalf the offering is to be made, or a registered dealer. (b) Every person filing a registration statement shall pay a filing fee of two thousand dollars ($2,000). When a registration statement is withdrawn […]
§ 78A-29 – Denial, suspension, and revocation of registration.
78A-29. Denial, suspension, and revocation of registration. (a) The Administrator may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, any registration statement if he finds (1) That the order is in the public interest and (2) That: a. The registration statement as of its effective date or as of […]
§ 78A-30 – Application to exchange securities.
78A-30. Application to exchange securities. (a) When application is made for approval to issue securities or to deliver other consideration (whether or not the security or transaction is exempt from registration or qualification other than by the provisions of G.S. 78A-17(16) or not required to be qualified) in exchange for one or more bona fide […]
§ 78A-31 – Notice filings for securities covered under federal law.
78A-31. Notice filings for securities covered under federal law. (a) The Administrator, by rule or order, may require the filing of any of the following documents with regard to a security (i) issued by an investment company that is registered or has filed a registration statement under the Investment Company Act of 1940 and (ii) […]
§ 78A-24 – Registration requirement.
78A-24. Registration requirement. It is unlawful for any person to offer or sell any security in this State unless (i) it is registered under this Chapter, (ii) the security or transaction is exempted under G.S. 78A-16 or 78A-17 and such exemption has not been denied or revoked under G.S. 78A-18, or (iii) it is a […]
§ 78A-25 – Registration by notification.
78A-25. Registration by notification. (a) The following securities may be registered by notification whether or not they are also eligible for registration by coordination under G.S. 78A-26: (1) Any security whose issuer and any predecessors have been in continuous operation for at least five years if a. There has been no default during the current […]