§ 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-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-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 […]