Chapter 78A
40 published sections.
Article 1 - Title and Definitions
- N.C.G.S. § 78A-1 — Title.
- N.C.G.S. § 78A-2 — Definitions.
Article 2 - Fraudulent and Other Prohibited Practices
- N.C.G.S. § 78A-8 — Sales and purchases.
- N.C.G.S. § 78A-9 — Misleading filings.
- N.C.G.S. § 78A-10 — Unlawful representations concerning registration or exemption.
- N.C.G.S. § 78A-11 — Unlawful telephone rooms.
- N.C.G.S. § 78A-12 — Manipulation of market.
- N.C.G.S. § 78A-13 — Disclosures required in offer and sale of viaticals.
- N.C.G.S. § 78A-14 — Advertising of Viatical Settlement Contracts.
Article 3 - Exemptions
- N.C.G.S. § 78A-16 — Exempt securities.
- N.C.G.S. § 78A-17 — Exempt transactions.
- N.C.G.S. § 78A-17.1 — Invest NC exemption.
- N.C.G.S. § 78A-18 — Denial and revocation of exemptions.
Article 4 - Registration and Notice Filing Procedures of Securities
- N.C.G.S. § 78A-24 — Registration requirement.
- N.C.G.S. § 78A-25 — Registration by notification.
- N.C.G.S. § 78A-26 — Registration by coordination.
- N.C.G.S. § 78A-27 — Registration by qualification.
- N.C.G.S. § 78A-28 — Provisions applicable to registration generally.
- N.C.G.S. § 78A-29 — Denial, suspension, and revocation of registration.
- N.C.G.S. § 78A-30 — Application to exchange securities.
- N.C.G.S. § 78A-31 — Notice filings for securities covered under federal law.
Article 5 - Registration of Dealers and Salesmen
- N.C.G.S. § 78A-36 — Registration requirement.
- N.C.G.S. § 78A-36.1 — Limited registration of Canadian dealers and salesmen.
- N.C.G.S. § 78A-37 — Registration procedure.
- N.C.G.S. § 78A-38 — Post-registration provisions.
- N.C.G.S. § 78A-39 — Denial, revocation, suspension, censure, cancellation, and withdrawal of registration.
- N.C.G.S. § 78A-40 — Alternative methods of registration.
Article 6 - Administration and Review
- N.C.G.S. § 78A-45 — Administration of Chapter.
- N.C.G.S. § 78A-46 — Investigations and subpoenas.
- N.C.G.S. § 78A-47 — Injunctions; cease and desist orders.
- N.C.G.S. § 78A-48 — Judicial review of orders.
- N.C.G.S. § 78A-49 — Rules, forms, orders, and hearings.
- N.C.G.S. § 78A-50 — Administrative files and opinions.
Article 7 - Civil Liabilities and Criminal Penalties
- N.C.G.S. § 78A-56 — Civil liabilities.
- N.C.G.S. § 78A-57 — Criminal penalties.
- N.C.G.S. § 78A-58 — Obstruction of investigation.
Article 8 - Miscellaneous Provisions
- N.C.G.S. § 78A-63 — Scope of the Chapter; service of process.
- N.C.G.S. § 78A-64 — Statutory policy.
- N.C.G.S. § 78A-65 — Repeal and saving provisions.
- N.C.G.S. § 78A-66 — Jurisdictional limitations.