§ 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 When a registration statement is withdrawn […]
§ 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-11 – Unlawful telephone rooms.
78A-11. Unlawful telephone rooms. It is unlawful for any person to willfully manage, supervise, control, or own, directly or indirectly, either alone or in association with others, any telephone room in this State. For purposes of this section, "telephone room" means an enterprise in which two or more persons engage in telephone communications with members […]
§ 78A-12 – Manipulation of market.
78A-12. Manipulation of market. (a) In addition to the prohibitions of G.S. 78A-8, it is unlawful for any person to do any of the following: (1) Willfully quote a fictitious price with respect to a security. (2) Effect a transaction in a security which involves no change in the beneficial ownership of the security, for […]
§ 78A-13 – Disclosures required in offer and sale of viaticals.
78A -13. Disclosures required in offer and sale of viaticals. (a) Disclosures Required Prior to Signing of Purchase Agreement or Transfer of Consideration. – The following disclosures shall be required in the offer and sale of viatical settlement contracts, whether such offer and sale is pursuant to an exemption from registration or pursuant to the […]
§ 78A-14 – Advertising of Viatical Settlement Contracts.
78A-14. Advertising of Viatical Settlement Contracts. (a) The purpose of this section is to provide prospective viatical settlement purchasers with clear and unambiguous statements in the advertisement of viatical settlement contracts and to assure the clear, truthful, and adequate disclosure of the benefits, risks, limitations, and exclusions of any contract or purchase agreement offered or […]
§ 78A-16 – Exempt securities.
78A-16. Exempt securities. The following securities are exempted from G.S. 78A-24 and 78A-49(d): (1) Any security (including a revenue obligation) issued or guaranteed by the United States, any state, any political subdivision of a state, or any agency or corporate or other instrumentality of one or more of the foregoing; or any certificate of deposit […]