§ 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-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-36 – Registration requirement.
78A-36. Registration requirement. (a) It is unlawful for any person to transact business in this State as a dealer or salesman unless he is registered under this Chapter. No dealer shall be eligible for registration under this Chapter, or for renewal of registration hereunder, unless such dealer is at the time registered as a dealer […]
§ 78A-36.1 – Limited registration of Canadian dealers and salesmen.
78A-36.1. Limited registration of Canadian dealers and salesmen. (a) A dealer that is a resident of Canada and that has no office or other physical presence in this State may effect transactions in securities with or for, or induce or attempt to induce the purchase or sale of any security by: (1) A person from […]
§ 78A-37 – Registration procedure.
78A-37. Registration procedure. (a) A dealer or salesman may obtain an initial or renewal registration by filing with the Administrator an application together with a consent to service of process pursuant to G.S. 78A-63(f). The application shall contain whatever information the Administrator by rule requires concerning such matters as (i) the applicant’s form and place […]
§ 78A-38 – Post-registration provisions.
78A-38. Post-registration provisions. (a) Every registered dealer shall make and keep such accounts, correspondence, memoranda, papers, books, and other records as the Administrator by rule prescribes, subject to the limitations of section 15 of the Securities Exchange Act of 1934 (15 U.S.C. 78o). (b) Every registered dealer shall file such financial reports as the Administrator […]