North Carolina General Statutes
Chapter 78A - North Carolina Securities Act

Article 1 - Title and Definitions.

§ 78A-1 - Title. - 78A-1. Title. This Chapter shall be known and may be...

§ 78A-2 - Definitions. - 78A-2. Definitions. When used in this Chapter, unless the context...

Article 2 - Fraudulent and Other Prohibited Practices.

§ 78A-8 - Sales and purchases. - 78A-8. Sales and purchases. It is unlawful for any person,...

§ 78A-9 - Misleading filings. - 78A-9. Misleading filings. It is unlawful for any person to...

§ 78A-10 - Unlawful representations concerning registration or exemption. - 78A-10. Unlawful representations concerning registration or exemption. (a) Neither (i)...

§ 78A-11 - Unlawful telephone rooms. - 78A-11. Unlawful telephone rooms. It is unlawful for any person...

§ 78A-12 - Manipulation of market. - 78A-12. Manipulation of market. (a) In addition to the prohibitions...

§ 78A-13 - Disclosures required in offer and sale of viaticals. - 78A -13. Disclosures required in offer and sale of viaticals....

§ 78A-14 - Advertising of Viatical Settlement Contracts. - 78A-14. Advertising of Viatical Settlement Contracts. (a) The purpose of...

Article 3 - Exemptions.

§ 78A-16 - Exempt securities. - 78A-16. Exempt securities. The following securities are exempted from G.S....

§ 78A-17 - Exempt transactions. - 78A-17. Exempt transactions. Except as otherwise provided in this Chapter,...

§ 78A-17.1 - Invest NC exemption. - 78A-17.1. Invest NC exemption. (a) Exemption. - Except as otherwise...

§ 78A-18 - Denial and revocation of exemptions. - 78A-18. Denial and revocation of exemptions. (a) The Administrator may...

Article 4 - Registration and Notice Filing Procedures of Securities.

§ 78A-24 - Registration requirement. - 78A-24. Registration requirement. It is unlawful for any person to...

§ 78A-25 - Registration by notification. - 78A-25. Registration by notification. (a) The following securities may be...

§ 78A-26 - Registration by coordination. - 78A-26. Registration by coordination. (a) Any security for which a...

§ 78A-27 - Registration by qualification. - 78A-27. Registration by qualification. (a) Any security may be registered...

§ 78A-28 - Provisions applicable to registration generally. - 78A-28. Provisions applicable to registration generally. (a) A registration statement...

§ 78A-29 - Denial, suspension, and revocation of registration. - 78A-29. Denial, suspension, and revocation of registration. (a) The Administrator...

§ 78A-30 - Application to exchange securities. - 78A-30. Application to exchange securities. (a) When application is made...

§ 78A-31 - Notice filings for securities covered under federal law. - 78A-31. Notice filings for securities covered under federal law. (a)...

Article 5 - Registration of Dealers and Salesmen.

§ 78A-36 - Registration requirement. - 78A-36. Registration requirement. (a) It is unlawful for any person...

§ 78A-36.1 - Limited registration of Canadian dealers and salesmen. - 78A-36.1. Limited registration of Canadian dealers and salesmen. (a) A...

§ 78A-37 - Registration procedure. - 78A-37. Registration procedure. (a) A dealer or salesman may obtain...

§ 78A-38 - Post-registration provisions. - 78A-38. Post-registration provisions. (a) Every registered dealer shall make and...

§ 78A-39 - Denial, revocation, suspension, censure, cancellation, and withdrawal of registration. - 78A-39. Denial, revocation, suspension, censure, cancellation, and withdrawal of registration....

§ 78A-40 - Alternative methods of registration. - 78A-40. Alternative methods of registration. (a) The Administrator may by...

Article 6 - Administration and Review.

§ 78A-45 - Administration of Chapter. - 78A-45. Administration of Chapter. (a) This Chapter shall be administered...

§ 78A-46 - Investigations and subpoenas. - 78A-46. Investigations and subpoenas. (a) The Administrator in his discretion...

§ 78A-47 - Injunctions; cease and desist orders. - 78A-47. Injunctions; cease and desist orders. (a) Whenever it appears...

§ 78A-48 - Judicial review of orders. - 78A-48. Judicial review of orders. (a) Any person aggrieved by...

§ 78A-49 - Rules, forms, orders, and hearings. - 78A-49. Rules, forms, orders, and hearings. (a) The Administrator may...

§ 78A-50 - Administrative files and opinions. - 78A-50. Administrative files and opinions. (a) A document is filed...

Article 7 - Civil Liabilities and Criminal Penalties.

§ 78A-56 - Civil liabilities. - 78A-56. Civil liabilities. (a) Any person who: (1) Offers or...

§ 78A-57 - Criminal penalties. - 78A-57. Criminal penalties. (a) Any person who willfully violates any...

§ 78A-58 - Obstruction of investigation. - 78A-58. Obstruction of investigation. A person is guilty of a...

Article 8 - Miscellaneous Provisions.

§ 78A-63 - Scope of the Chapter; service of process. - 78A-63. Scope of the Chapter; service of process. (a) G.S....

§ 78A-64 - Statutory policy. - 78A-64. Statutory policy. This Chapter shall be so construed as...

§ 78A-65 - Repeal and saving provisions. - 78A-65. Repeal and saving provisions. (a) The Securities Law of...

§ 78A-66 - Jurisdictional limitations. - 78A-66. Jurisdictional limitations. Nothing in this Chapter affects the Viatical...