printable versionNorth Carolina General Statutes
Chapter 78A: North Carolina Securities Act.
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View Consolidated Chapter [RTF] [PDF]
- § 78A-1. Title. [RTF] [PDF]
- § 78A-2. Definitions. [RTF] [PDF]
- §§ 78A-3 through 78A-7. Reserved for future codification purposes. [RTF] [PDF]
- § 78A-8. Sales and purchases. [RTF] [PDF]
- § 78A-9. Misleading filings. [RTF] [PDF]
- § 78A-10. Unlawful representations concerning registration or exemption. [RTF] [PDF]
- § 78A-11. Unlawful telephone rooms. [RTF] [PDF]
- § 78A-12. Manipulation of market. [RTF] [PDF]
- § 78A-13. Disclosures required in offer and sale of viaticals. [RTF] [PDF]
- § 78A-14. Advertising of Viatical Settlement Contracts. [RTF] [PDF]
- § 78A-15. Reserved for future codification purposes. [RTF] [PDF]
- § 78A-16. Exempt securities. [RTF] [PDF]
- § 78A-17. Exempt transactions. [RTF] [PDF]
- § 78A-18. Denial and revocation of exemptions. [RTF] [PDF]
- §§ 78A-19 through 78A-23. Reserved for future codification purposes. [RTF] [PDF]
- § 78A-24. Registration requirement. [RTF] [PDF]
- § 78A-25. Registration by notification. [RTF] [PDF]
- § 78A-26. Registration by coordination. [RTF] [PDF]
- § 78A-27. Registration by qualification. [RTF] [PDF]
- § 78A-28. Provisions applicable to registration generally. [RTF] [PDF]
- § 78A-29. Denial, suspension, and revocation of registration. [RTF] [PDF]
- § 78A-30. Application to exchange securities. [RTF] [PDF]
- § 78A-31. Notice filings for securities covered under federal law. [RTF] [PDF]
- §§ 78A-32 through 78A-35. Reserved for future codification purposes. [RTF] [PDF]
- § 78A-36. Registration requirement. [RTF] [PDF]
- § 78A-36.1. Limited registration of Canadian dealers and salesmen. [RTF] [PDF]
- § 78A-37. Registration procedure. [RTF] [PDF]
- § 78A-38. Post-registration provisions. [RTF] [PDF]
- § 78A-39. Denial, revocation, suspension, censure, cancellation, and withdrawal of registration. [RTF] [PDF]
- § 78A-40. Alternative methods of registration. [RTF] [PDF]
- §§ 78A-41 through 78A-44. Reserved for future codification purposes. [RTF] [PDF]
- § 78A-45. Administration of Chapter. [RTF] [PDF]
- § 78A-46. Investigations and subpoenas. [RTF] [PDF]
- § 78A-47. Injunctions; cease and desist orders. [RTF] [PDF]
- § 78A-48. Judicial review of orders. [RTF] [PDF]
- § 78A-49. Rules, forms, orders, and hearings. [RTF] [PDF]
- § 78A-50. Administrative files and opinions. [RTF] [PDF]
- §§ 78A-51 through 78A-55. Reserved for future codification purposes. [RTF] [PDF]
- § 78A-56. Civil liabilities. [RTF] [PDF]
- § 78A-57. Criminal penalties. [RTF] [PDF]
- § 78A-58. Obstruction of investigation. [RTF] [PDF]
- §§ 78A-59 through 78A-62. Reserved for future codification purposes. [RTF] [PDF]
