North Carolina General Assembly
NC General Statutes
Chapter 78A - North Carolina Securities Act.
The Statutes on the North Carolina General Assembly website reflect changes made in the
legislative session, through 7/30/2016.
Title and Definitions.
§ 78A-1. Title.
§ 78A-2. Definitions.
§§ 78A-3 through 78A-7. Reserved for future codification purposes.
Fraudulent and Other Prohibited Practices.
§ 78A-8. Sales and purchases.
§ 78A-9. Misleading filings.
§ 78A-10. Unlawful representations concerning registration or exemption.
§ 78A-11. Unlawful telephone rooms.
§ 78A-12. Manipulation of market.
§ 78A-13. Disclosures required in offer and sale of viaticals.
§ 78A-14. Advertising of Viatical Settlement Contracts.
§ 78A-15. Reserved for future codification purposes.
§ 78A-16. Exempt securities.
§ 78A-17. Exempt transactions.
§ 78A-17.1. Invest NC exemption.
§ 78A-18. Denial and revocation of exemptions.
§§ 78A-19 through 78A-23. Reserved for future codification purposes.
Registration and Notice Filing Procedures of Securities.
§ 78A-24. Registration requirement.
§ 78A-25. Registration by notification.
§ 78A-26. Registration by coordination.
§ 78A-27. Registration by qualification.
§ 78A-28. Provisions applicable to registration generally.
§ 78A-29. Denial, suspension, and revocation of registration.
§ 78A-30. Application to exchange securities.
§ 78A-31. Notice filings for securities covered under federal law.
§§ 78A-32 through 78A-35. Reserved for future codification purposes.
Registration of Dealers and Salesmen.
§ 78A-36. Registration requirement.
§ 78A-36.1. Limited registration of Canadian dealers and salesmen.
§ 78A-37. Registration procedure.
§ 78A-38. Post-registration provisions.
§ 78A-39. Denial, revocation, suspension, censure, cancellation, and withdrawal of registration.
§ 78A-40. Alternative methods of registration.
§§ 78A-41 through 78A-44. Reserved for future codification purposes.
Administration and Review.
§ 78A-45. Administration of Chapter.
§ 78A-46. Investigations and subpoenas.
§ 78A-47. Injunctions; cease and desist orders.
§ 78A-48. Judicial review of orders.
§ 78A-49. Rules, forms, orders, and hearings.
§ 78A-50. Administrative files and opinions.
§§ 78A-51 through 78A-55. Reserved for future codification purposes.
Civil Liabilities and Criminal Penalties.
§ 78A-56. Civil liabilities.
§ 78A-57. Criminal penalties.
§ 78A-58. Obstruction of investigation.
§§ 78A-59 through 78A-62. Reserved for future codification purposes.
§ 78A-63. Scope of the Chapter; service of process.
§ 78A-64. Statutory policy.
§ 78A-65. Repeal and saving provisions.
§ 78A-66. Jurisdictional limitations.