Chapter 78a. North Carolina Securities Act
Article 1. Title and Definitions
Article 2. Fraudulent and Other Prohibited Practices
- N.C. Gen. Stat. § 78A-8 Sales and Purchases
- N.C. Gen. Stat. § 78A-9 Misleading Filings
- N.C. Gen. Stat. § 78A-10 Unlawful Representations Concerning Registration Or Exemption
- N.C. Gen. Stat. § 78A-11 Unlawful Telephone Rooms
- N.C. Gen. Stat. § 78A-12 Manipulation of Market
- N.C. Gen. Stat. § 78A-13 Disclosures Required In Offer and Sale of Viaticals
- N.C. Gen. Stat. § 78A-14 Advertising of Viatical Settlement Contracts
- N.C. Gen. Stat. § 78A-15 Reserved
Article 4. Registration and Notice Filing Procedures of Securities
- N.C. Gen. Stat. § 78A-24 Registration Requirement
- N.C. Gen. Stat. § 78A-25 Registration By Notification
- N.C. Gen. Stat. § 78A-26 Registration By Coordination
- N.C. Gen. Stat. § 78A-27 Registration By Qualification
- N.C. Gen. Stat. § 78A-28 Provisions Applicable to Registration Generally
- N.C. Gen. Stat. § 78A-29 Denial, Suspension, and Revocation of Registration
- N.C. Gen. Stat. § 78A-30 Application to Exchange Securities
- N.C. Gen. Stat. § 78A-31 Notice Filings For Securities Covered Under Federal Law
- N.C. Gen. Stat. § 78A-32 through 78A-35 Reserved
Article 5. Registration of Dealers and Salesmen
- N.C. Gen. Stat. § 78A-36 Registration Requirement
- N.C. Gen. Stat. § 78A-36.1 Limited Registration of Canadian Dealers and Salesmen
- N.C. Gen. Stat. § 78A-37 Registration Procedure
- N.C. Gen. Stat. § 78A-38 Post-Registration Provisions
- N.C. Gen. Stat. § 78A-39 Denial, Revocation, Suspension, Censure, Cancellation, and Withdrawal of Registration
- N.C. Gen. Stat. § 78A-40 Alternative Methods of Registration
- N.C. Gen. Stat. § 78A-41 through 78A-44 Reserved
Article 6. Administration and Review
- N.C. Gen. Stat. § 78A-45 Administration of Chapter
- N.C. Gen. Stat. § 78A-46 Investigations and Subpoenas
- N.C. Gen. Stat. § 78A-47 Injunctions; Cease and Desist Orders
- N.C. Gen. Stat. § 78A-48 Judicial Review of Orders
- N.C. Gen. Stat. § 78A-49 Rules, Forms, Orders, and Hearings
- N.C. Gen. Stat. § 78A-50 Administrative Files and Opinions
- N.C. Gen. Stat. § 78A-51 through 78A-55 Reserved
Article 7. Civil Liabilities and Criminal Penalties