§ 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-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-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 […]
§ 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 […]