§ 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 […]
§ 78A-48 – Judicial review of orders.
78A-48. Judicial review of orders. (a) Any person aggrieved by a final order of the Administrator may obtain a review of the order in the Superior Court of Wake County by filing in court, within 30 days after a written copy of the decision is served upon the person by personal service or by registered […]
§ 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-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-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 […]