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Home » US Law » 2022 North Carolina General Statutes » Chapter 78C - Investment Advisers » Article 4 - Administration and Review.

§ 78C-26 – Administration of Chapter.

78C-26. 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, and make, execute and issue final agency orders […]

§ 78C-27 – Investigations and subpoenas.

78C-27. 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 […]

§ 78C-28 – Injunctions; cease and desist orders; civil penalties.

78C-28. Injunctions; cease and desist orders; civil penalties. (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 […]

§ 78C-29 – Judicial review of orders.

78C-29. 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 […]

§ 78C-30 – Rules, forms, orders, and hearings.

78C-30. 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, applications, and reports, and defining any terms, whether or not used in this Chapter, insofar […]

§ 78C-31 – Administrative files and opinions.

78C-31. 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 which are or have been effective under this Chapter and all denial, suspension, or revocation orders or similar orders which have been entered under this Chapter. […]