Subchapter A - RECODIFIED RULES

  1. § 06A .0101-.0103 - REPEALED
  2. § 06A .0201-.0213 - REPEALED
  3. § 06A .0301-.0302 - REPEALED
  4. § 06A .0401-.0407 - REPEALED
  5. § 06A .0501-.0504 - REPEALED
  6. § 06A .0601-.0607 - REPEALED
  7. § 06A .0701-.0704 - REPEALED
  8. § 06A .0801-.0803 - REPEALED
  9. § 06A .0901-.0902 - REPEALED
  10. § 06A .1001-.1004 - REPEALED
  11. § 06A .1101 - LOCATION AND HOURS
  12. § 06A .1102 - PURPOSE
  13. § 06A .1103 - REPEALED - ADMINISTRATION (REPEALED)
  14. § 06A .1104 - DEFINITIONS
  15. § 06A .1201 - REPEALED - DESIGNATED SECURITIES EXCHANGES (REPEALED)
  16. § 06A .1202 - RECOGNIZED SECURITIES MANUALS
  17. § 06A .1203 - INFORMATION FILED BY REGISTERED DEALER
  18. § 06A .1204 - REPEALED - LIMITED OFFERINGS (REPEALED)
  19. § 06A .1205 - LIMITED OFFERINGS PURSUANT TO G.S. 78A-17(9)
  20. § 06A .1206 - LIMITED OFFERING EXEMPTION PURSUANT TO G.S. 78A-17(17)
  21. § 06A .1207 - DISQUALIFICATIONS FROM RELIANCE UPON CERTAIN EXEMPTIONS
  22. § 06A .1208 - TRANSACTIONS EXEMPT UNDER RULE .1206: FILING REQUIREMENTS
  23. § 06A .1209 - NONPROFIT SECURITIES
  24. § 06A .1210 - SECURITIES EXCHGS/AUTO QUOTATION SYS APPROVED/ADMINISTRATOR
  25. § 06A .1211 - NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGS
  26. § 06A .1212 - NOTICE FILING PROCEDURES FOR OFFERINGS OF INVESTMENT COMPANY SECURITIES
  27. § 06A .1213 - TRANSACTIONAL EXEMPTION PURSUANT TO G.S. 78A-17(19)
  28. § 06A .1301 - REGISTRATION BY NOTIFICATION
  29. § 06A .1302 - REGISTRATION BY COORDINATION
  30. § 06A .1303 - REGISTRATION BY QUALIFICATION
  31. § 06A .1304 - SECURITIES REGISTRATION AND FILING FEES
  32. § 06A .1305 - SPONSORSHIP BY DEALER
  33. § 06A .1306 - CONFIRMATION OF REGISTRATION
  34. § 06A .1307 - COMMISSIONS AND EXPENSES
  35. § 06A .1308 - ADVERTISING
  36. § 06A .1309 - REPEALED - ADVERTISEMENTS NOT DEEMED PROSPECTUS: ETC. (REPEALED)
  37. § 06A .1310 - OFFERING PRICE
  38. § 06A .1311 - REPEALED - SHELF REGISTRATIONS (REPEALED)
  39. § 06A .1312 - REPEALED - REGISTRATION OF REAL ESTATE SECURITIES (REPEALED)
  40. § 06A .1313 - REGISTRATION OF DIRECT PARTICIPATION PROGRAM SECURITIES
  41. § 06A .1314 - ESCROW AGREEMENTS
  42. § 06A .1315 - NOTICE OF COMPLETION OF OFFERING/FINAL SALES REPORT
  43. § 06A .1316 - LEGENDS REQUIRED
  44. § 06A .1317 - AMENDMENT OF FILINGS
  45. § 06A .1318 - AUTOMATIC WITHDRAWAL OF APPLICATION FOR REGISTRATION
  46. § 06A .1319 - REQUIRED DISCLOSURES: VIATICAL SETTLEMENT CONTRACTS
  47. § 06A .1320 - VIATICAL SETTLEMENT CONTRACT SUITABILITY REQUIREMENTS
  48. § 06A .1401 - APPLICATION FOR REGISTRATION OF DEALERS
  49. § 06A .1402 - APPLICATION FOR REGISTRATION OF SALESMEN
  50. § 06A .1403 - TERMINATION OF REGISTRATION OF DEALER
  51. § 06A .1404 - CHANGE IN NAME OF DEALER
  52. § 06A .1405 - DEALER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSION
  53. § 06A .1406 - EXPIRATION AND RENEWAL OF DEALER REGISTRATION
  54. § 06A .1407 - EXPIRATION AND RENEWAL OF SALESMAN'S REGISTRATION
  55. § 06A .1408 - TERMINATION OF SALESMAN'S REGISTRATION
  56. § 06A .1409 - EXPIRED - TRANSFER OF SALESMAN'S REGISTRATION
  57. § 06A .1410 - MINIMUM FINANCIAL REQUIREMENTS FOR DEALERS
  58. § 06A .1411 - RECORD KEEPING REQUIREMENTS FOR DEALERS
  59. § 06A .1412 - FINANCIAL STATEMENTS
  60. § 06A .1413 - SALESMAN EXAMINATION REQUIRED
  61. § 06A .1414 - DISHONEST/UNETHICAL PRACTICES OF DEALERS AND SALESMEN
  62. § 06A .1415 - REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORS
  63. § 06A .1416 - REPORTING REQUIREMENTS OF DEALERS AND SALESMEN
  64. § 06A .1417 - APPLICATION FOR LIMITED REGISTRATION OF CANADIAN SECURITIES DEALERS AND SALESMEN
  65. § 06A .1501 - RESCISSION OFFERS
  66. § 06A .1502 - APPLICATION TO EXCHANGE SECURITIES
  67. § 06A .1503 - FORM OF CONSENT TO SERVICE OF PROCESS
  68. § 06A .1504 - REQUEST FOR INTERPRETATIVE OPINIONS: NO-ACTION LETTERS
  69. § 06A .1505 - REPEALED - LEGENDS REQUIRED (REPEALED)
  70. § 06A .1506 - REPEALED - PUBLIC INFORMATION (REPEALED)
  71. § 06A .1507 - IMPLICATIONS OF REGISTRATION OR EXEMPTION
  72. § 06A .1508 - FAILURE TO FURNISH INFORMATION
  73. § 06A .1509 - REPEALED - FORMS (REPEALED)
  74. § 06A .1510 - LIMITED LIABILITY COMPANY MEMBERSHIP INTERESTS AS SECURITIES
  75. § 06A .1601-.1604 - EXPIRED
  76. § 06A .1605 - REPEALED - REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (REPEALED)
  77. § 06A .1606 - EXPIRED - REPORTING REQUIREMENT/TERMINATION/QUALIFIED INVEST (REPEALED)
  78. § 06A .1607 - EXPIRED - FORMS
  79. § 06A .1701 - DEFINITIONS
  80. § 06A .1702 - APPLICATION FOR INVESTMENT ADVISER REGISTRATION/NOTICE FILING FOR INVESTMENT ADVISER COVERED UNDER FEDERAL LAW
  81. § 06A .1703 - APPLICATION/INVESTMENT ADVISER REPRESENTATIVE REGISTRATION
  82. § 06A .1704 - MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS
  83. § 06A .1705 - BONDING REQUIREMENTS FOR CERTAIN INVESTMENT ADVISERS
  84. § 06A .1706 - RECORD-KEEPING REQUIREMENTS FOR INVESTMENT ADVISERS
  85. § 06A .1707 - INVESTMENT ADVISER BROCHURE RULE
  86. § 06A .1708 - FINANCIAL REPORTING REQUIREMENTS FOR INVESTMENT ADVISERS
  87. § 06A .1709 - EXAM REQUIRE/INVESTMENT ADVISERS: REPRESENTATIVES
  88. § 06A .1710 - TERMINATION/WITHDRAWAL/INVESTMENT ADVISER REGISTRATIONS
  89. § 06A .1711 - EXPIRED - TRANSFER/INVESTMENT ADVISER REPRESENTATIVE'S REGISTRATION
  90. § 06A .1712 - REPEALED - CHANGE OF NAME OF INVESTMENT ADVISER (REPEALED)
  91. § 06A .1713 - INVEST ADVISER MERGER/CONSOLIDATION/ACQUISITION/SUCCESSION
  92. § 06A .1714 - REPEALED - REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORS (REPEALED)
  93. § 06A .1715 - INVESTMENT ADVISER REGISTRATION DEPOSITORY
  94. § 06A .1716 - EXPIRED - TRANSITION SCHEDULE FOR CONVERSION TO IARD
  95. § 06A .1717 - CASH PAYMENTS FOR CLIENT SOLICITATIONS
  96. § 06A .1801 - DISHONEST OR UNETHICAL PRACTICES
  97. § 06A .1802 - CUSTODY/CLIENT FUNDS OR SECURITIES BY INVESTMENT ADVISERS
  98. § 06A .1803 - AGENCY CROSS TRANSACTIONS
  99. § 06A .1804 - EXEMPTION/SECTION 78C-8(A)(3)/CERTAIN BROKER-DEALERS
  100. § 06A .1805 - PERFORMANCE-BASED COMPENSATION EXEMPTION
  101. § 06A .1806 - TRANSACTIONS DEEMED NOT TO BE ASSIGNMENTS
  102. § 06A .1807 - REQUEST FOR INTERPRETATIVE OPINIONS
  103. § 06A .1808 - SUPERVISION OF INVESTMENT ADVISER REPRESENTATIVES
  104. § 06A .1809 - REPEALED - PUBLIC INFORMATION (REPEALED)
  105. § 06A .1810 - FORM OF CONSENT TO SERVICE OF PROCESS
  106. § 06A .1811 - REPEALED - FORMS (REPEALED)
  107. § 06A .1901-1906 - REPEALED
  108. § 06A .2001 - PURPOSE
  109. § 06A .2002 - SCOPE
  110. § 06A .2003 - DEFINITIONS
  111. § 06A .2004 - EXEMPTION LIMITATIONS
  112. § 06A .2005 - COUNTING SALES
  113. § 06A .2006 - RESERVED FOR FUTURE CODIFICATION
  114. § 06A .2007 - ISSUER FILING REQUIREMENTS
  115. § 06A .2008 - NOTICE OF INTRASTATE CLAIM OF EXEMPTION FORM REQUIREMENTS
  116. § 06A .2009 - SIGNING FORM NCE
  117. § 06A .2010 - CONTENT OF DISCLOSURE DOCUMENT
  118. § 06A .2011 - REQUIRED STATEMENTS TO INCLUDE IN ISSUER DISCLOSURE DOCUMENT
  119. § 06A .2012 - CIRCUMSTANCES WHEN ADDITIONAL DISCLOSURE DOCUMENT CONTENT REQUIRED
  120. § 06A .2013 - ISSUER TO CEASE OFFERING AND AMEND THE DISCLOSURE DOCUMENT
  121. § 06A .2014 - FACTORS CONSIDERED WHEN REVIEWING THE CLAIM OF EXEMPTION
  122. § 06A .2015 - ADMINISTRATOR's NOTICE OF COMPLIANCE
  123. § 06A .2016 - DENIAL OR REVOCATION OF THE EXEMPTION
  124. § 06A .2017 - ESCROW ACCOUNT
  125. § 06A .2018 - ISSUER TO PROVIDE INFORMATION TO THE ESCROW AGENT
  126. § 06A .2019 - TERMS OF ESCROW AGREEMENT
  127. § 06A .2020 - REVIEW OF THE ESCROW AGREEMENT
  128. § 06A .2021 - ADMINISTRATOR's REJECTION OF ESCROW AGREEMENT
  129. § 06A .2022 - ADMINISTRATOR NOTICE OF APPROVAL OR REJECTION OF ESCROW AGREEMENT
  130. § 06A .2023 - ESCROW AGENT DUTIES, RESPONSIBILITIES, AND STANDARDS OF CONDUCT
  131. § 06A .2024 - NOTICE TO ADMINISTRATOR MINIMUM OFFERING AMOUNT REACHED, FUNDS RELEASED FROM THE ESCROW ACCOUNT, AND TERMINATION OF ESCROW AGREEMENT
  132. § 06A .2025 - CONTENT OF NOTICE OF RELEASE OF FUNDS FROM ESCROW ACCOUNT
  133. § 06A .2026 - REGISTERED DEALER ACTING AS AN ESCROW AGENT
  134. § 06A .2027 - ESCROW AGENT REQUIREMENTS
  135. § 06A .2028 - TREATMENT OF INFORMATION
  136. § 06A .2029 - RESERVED FOR FUTURE CODIFICATION
  137. § 06A .2030 - FUNDING PORTAL REGISTRATION
  138. § 06A .2031 - CONTENTS OF FORM NCFP
  139. § 06A .2032 - REQUIRED FUNDING PORTAL ATTESTATIONS
  140. § 06A .2033 - REVIEW OF THE FUNDING PORTAL REGISTRATION
  141. § 06A .2034 - ADMINISTRATOR DENIAL OR REVOCATION OF FUNDING PORTAL REGISTRATION
  142. § 06A .2035 - ADMINISTRATOR NOTICE OF EFFECTIVE FUNDING PORTAL REGISTRATION
  143. § 06A .2036 - FUNDING PORTAL NOTICE TO ADMINISTRATOR OF CHANGES
  144. § 06A .2037 - FUNDING PORTAL FINANCIAL INTEREST IN ISSUER
  145. § 06A .2038 - FUNDING PORTAL DENIAL OF ACCESS
  146. § 06A .2039 - FUNDING PORTAL STANDARDS OF CONDUCT
  147. § 06A .2040 - RESERVED FOR FUTURE CODIFICATION
  148. § 06A .2041 - LIMITATIONS ON GENERAL SOLICITATION AND ADVERTISING
  149. § 06A .2042 - MEDIA COVERAGE OF a SECURITIES OFFERING USING THE EXEMPTION
  150. § 06A .2043 - MANDATORY CONTENT REQUIREMENT IN PERMITTED ADVERTISING NOTICE
  151. § 06A .2044 - OTHER REQUIREMENTS FOR PERMITTED ADVERTISING NOTICES
  152. § 06A .2045 - ESTABLISHING a PLATFORM
  153. § 06A .2046 - INDIVIDUALS NOT SUBJECT TO DEALER REGISTRATION
  154. § 06A .2047 - RETENTION OF PLATFORM COMMUNICATIONS
  155. § 06A .2048 - ADMINISTRATION OF PLATFORM COMMUNICATION CHANNELS
  156. § 06A .2049 - ADDITIONAL COMMUNICATION CHANNEL REQUIREMENTS
  157. § 06A .2050 - RESERVED FOR FUTURE CODIFICATION
  158. § 06A .2051 - PROVIDING DOCUMENTS TO PROSPECTIVE INVESTORS AND INVESTORS
  159. § 06A .2052 - MANNER OF PROVIDING DISCLOSURE AND OTHER DOCUMENTS TO a PROSPECTIVE INVESTOR OR AN INVESTOR
  160. § 06A .2053 - ISSUER SHALL REQUIRE INVESTOR ACTIONS
  161. § 06A .2054 - INVESTOR CANCELLATION OF INVESTMENT COMMITMENT
  162. § 06A .2055 - RELEASE OF FUNDS IN ESCROW ACCOUNT
  163. § 06A .2056 - ISSUER NOTICE TO INVESTORS MINIMUM OFFERING AMOUNT REACHED
  164. § 06A .2057 - QUARTERLY REPORTS
  165. § 06A .2058 - CONCLUSION OF THE OFFERING
  166. § 06A .2059 - RESERVED FOR FUTURE CODIFICATION
  167. § 06A .2060 - ISSUER RECORDKEEPING REQUIREMENTS
  168. § 06A .2061 - FUNDING PORTAL RECORDKEEPING REQUIREMENTS
  169. § 06A .2062 - REQUIREMENT FOR RETENTION OF ORIGINAL OR EQUIVALENT
  170. § 06A .2063 - PROTECTION OF INVESTORS AGAINST FRAUD AND OTHER MISCONDUCT
  171. § 06A .2064 - INTEGRATION
  172. § 06A .2065 - REQUEST FOR WAIVER
  173. § 06A .2066 - FACTORS ADMINISTRATOR MAY CONSIDER WITH REGARD TO WAIVER REQUESTS
  174. § 06A .2067 - ADMINISTRATOR NOTICE OF APPROVAL OR DENIAL OF a WAIVER
  175. § 06A .2068 - SIGNATURES
  176. § 06A .2069 - ELECTRONIC SIGNATURE
  177. § 06A .2070 - SIGNATURE VERIFIES INFORMATION IS TRUE
  178. § 06A .2071 - FILING WITH THE ADMINISTRATOR
  179. § 06A .2072 - RESERVED FOR FUTURE CODIFICATION
  180. § 06A .2073 - FILING ELECTRONICALLY
  181. § 06A .2074 - AMENDING a DOCUMENT FILED WITH THE ADMINISTRATOR
  182. § 06A .2075 - ABANDONMENT OR WITHDRAWAL OF FILING
  183. § 06A .2076 - CALCULATION OF TIME
  184. § 06A .2101 - PURPOSE
  185. § 06A .2102 - SCOPE
  186. § 06A .2103 - DEFINITIONS
  187. § 06A .2104 - LPO LIMITATIONS
  188. § 06A .2105 - MANDATORY CONFERENCE
  189. § 06A .2106 - FILING REQUIREMENTS FOR LPO
  190. § 06A .2107 - CONTENTS OF FORM NCE-LPO
  191. § 06A .2108 - ADDITIONAL LEGEND REQUIREMENT FOR DISCLOSURE DOCUMENT
  192. § 06A .2109 - ESCROW PROVISIONS
  193. § 06A .2110 - OPTIONAL USE OF INTERNET BY AN ISSUER OF AN LPO
  194. § 06A .2111 - GENERAL SOLICITATION AND ADVERTISING FILING REQUIREMENTS
  195. § 06A .2112 - GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS REQUIRED
  196. § 06A .2113 - GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS NOT REQUIRED
  197. § 06A .2114 - UNACCEPTABLE GENERAL SOLICITATION AND ADVERTISING
  198. § 06A .2115 - ADMINISTRATOR ADVISORY REVIEW OF GENERAL SOLICITATION AND ADVERTISING MATERIALS
  199. § 06A .2116 - RECORDKEEPING REQUIREMENTS
  200. § 06A .2117 - PROHIBITED LPO ISSUER BUSINESSES
  201. § 06A .2118 - ADMINISTRATOR MAY CONSIDER CERTAIN OTHER BUSINESS STRUCTURES
  202. § 06A .2119 - REVIEW OF THE ISSUER BUSINESS STRUCTURE
  203. § 06A .2120 - [Effective until 4/1/2026] SUNSET PROVISION
  204. § 06A .2120 - [Effective 4/1/2026] SUNSET PROVISION, version 2

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