§ 78D-33 – Affirmative Defense.
78D-33. Affirmative defense. It shall be a defense in any complaint, information, indictment, any writ or proceeding brought under this Chapter alleging a violation of G.S. 78D-2 based solely on the failure in an individual case to make physical delivery within the applicable time period under G.S. 78D-1(5) or G.S. 78D-4(a)(2) if the party asserting […]
§ 78D-21 – Investigations.
78D-21. Investigations. (a) The Administrator may make investigations, within or without this State, as it finds necessary or appropriate to: (1) Determine whether any person has violated, or is about to violate, any provision of this Chapter or any rule or order of the Administrator; or (2) Aid in enforcement of this Chapter. (b) The […]
§ 78D-22 – Enforcement of Chapter.
78D-22. Enforcement of Chapter. (a) If the Administrator believes, whether or not based upon an investigation conducted under G.S. 78D-21 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, the Administrator may: (1) Issue […]