SUBCHAPTER A - RECODIFIED RULES (06A .0101-.0103 to 06A .2120)

  1. 06A .0101-.0103 - REPEALED
  2. 06A .0201-.0213 - REPEALED
  3. 06A .0301-.0302 - REPEALED
  4. 06A .0401-.0407 - REPEALED
  5. 06A .0501-.0504 - REPEALED
  6. 06A .0601-.0607 - REPEALED
  7. 06A .0701-.0704 - REPEALED
  8. 06A .0801-.0803 - REPEALED
  9. 06A .0901-.0902 - REPEALED
  10. 06A .1001-.1004 - REPEALED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  13. 06A .1103 - REPEALED - ADMINISTRATION (REPEALED)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  15. 06A .1201 - REPEALED - DESIGNATED SECURITIES EXCHANGES (REPEALED)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  18. 06A .1204 - REPEALED - LIMITED OFFERINGS (REPEALED)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  36. 06A .1309 - REPEALED - ADVERTISEMENTS NOT DEEMED PROSPECTUS: ETC. (REPEALED)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  38. 06A .1311 - REPEALED - SHELF REGISTRATIONS (REPEALED)
  39. 06A .1312 - REPEALED - REGISTRATION OF REAL ESTATE SECURITIES (REPEALED)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 .2006 - RESERVED FOR FUTURE CODIFICATION
  109. 06A .2029 - RESERVED FOR FUTURE CODIFICATION
  110. 06A .2040 - RESERVED FOR FUTURE CODIFICATION
  111. 06A .2050 - RESERVED FOR FUTURE CODIFICATION
  112. 06A .2059 - RESERVED FOR FUTURE CODIFICATION
  113. 06A .2072 - RESERVED FOR FUTURE CODIFICATION
  114. 06A .2120 - [Effective until 4/1/2026]SUNSET PROVISION
  115. 06A .2120 - [Effective 4/1/2026]SUNSET PROVISION

The following state regulations pages link to this page.