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NOTE: The Statutes on the North Carolina General Assembly website reflect changes made in the 2016 Regular Session. The changes do not include the 4th Special Session held in December 2016. The changes from all Sessions are listed in the NC Statutes and Session Laws affected by ratified bills documents.

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North Carolina General Statutes
Chapter 78A: North Carolina Securities Act.

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Article 1 - Title and Definitions. [HTML] [RTF]
G.S. 78A-1 78A-1. Title.[HTML] [RTF]
G.S. 78A-2 78A-2. Definitions.[HTML] [RTF]
G.S. 78A-3 through 78A-7 78A-3 through 78A-7. Reserved for future codification purposes.[HTML] [RTF]
Article 2 - Fraudulent and Other Prohibited Practices. [HTML] [RTF]
G.S. 78A-8 78A-8. Sales and purchases.[HTML] [RTF]
G.S. 78A-9 78A-9. Misleading filings.[HTML] [RTF]
G.S. 78A-10 78A-10. Unlawful representations concerning registration or exemption.[HTML] [RTF]
G.S. 78A-11 78A-11. Unlawful telephone rooms.[HTML] [RTF]
G.S. 78A-12 78A-12. Manipulation of market.[HTML] [RTF]
G.S. 78A-13 78A-13. Disclosures required in offer and sale of viaticals.[HTML] [RTF]
G.S. 78A-14 78A-14. Advertising of Viatical Settlement Contracts.[HTML] [RTF]
G.S. 78A-15 78A-15. Reserved for future codification purposes.[HTML] [RTF]
Article 3 - Exemptions. [HTML] [RTF]
G.S. 78A-16 78A-16. Exempt securities.[HTML] [RTF]
G.S. 78A-17 78A-17. Exempt transactions.[HTML] [RTF]
G.S. 78A-17.1 78A-17.1. Invest NC exemption.[HTML] [RTF]
G.S. 78A-18 78A-18. Denial and revocation of exemptions.[HTML] [RTF]
G.S. 78A-19 through 78A-23 78A-19 through 78A-23. Reserved for future codification purposes.[HTML] [RTF]
Article 4 - Registration and Notice Filing Procedures of Securities. [HTML] [RTF]
G.S. 78A-24 78A-24. Registration requirement.[HTML] [RTF]
G.S. 78A-25 78A-25. Registration by notification.[HTML] [RTF]
G.S. 78A-26 78A-26. Registration by coordination.[HTML] [RTF]
G.S. 78A-27 78A-27. Registration by qualification.[HTML] [RTF]
G.S. 78A-28 78A-28. Provisions applicable to registration generally.[HTML] [RTF]
G.S. 78A-29 78A-29. Denial, suspension, and revocation of registration.[HTML] [RTF]
G.S. 78A-30 78A-30. Application to exchange securities.[HTML] [RTF]
G.S. 78A-31 78A-31. Notice filings for securities covered under federal law.[HTML] [RTF]
G.S. 78A-32 through 78A-35 78A-32 through 78A-35. Reserved for future codification purposes.[HTML] [RTF]
Article 5 - Registration of Dealers and Salesmen. [HTML] [RTF]
G.S. 78A-36 78A-36. Registration requirement.[HTML] [RTF]
G.S. 78A-36.1 78A-36.1. Limited registration of Canadian dealers and salesmen.[HTML] [RTF]
G.S. 78A-37 78A-37. Registration procedure.[HTML] [RTF]
G.S. 78A-38 78A-38. Post-registration provisions.[HTML] [RTF]
G.S. 78A-39 78A-39. Denial, revocation, suspension, censure, cancellation, and withdrawal of registration.[HTML] [RTF]
G.S. 78A-40 78A-40. Alternative methods of registration.[HTML] [RTF]
G.S. 78A-41 through 78A-44 78A-41 through 78A-44. Reserved for future codification purposes.[HTML] [RTF]
Article 6 - Administration and Review. [HTML] [RTF]
G.S. 78A-45 78A-45. Administration of Chapter.[HTML] [RTF]
G.S. 78A-46 78A-46. Investigations and subpoenas.[HTML] [RTF]
G.S. 78A-47 78A-47. Injunctions; cease and desist orders.[HTML] [RTF]
G.S. 78A-48 78A-48. Judicial review of orders.[HTML] [RTF]
G.S. 78A-49 78A-49. Rules, forms, orders, and hearings.[HTML] [RTF]
G.S. 78A-50 78A-50. Administrative files and opinions.[HTML] [RTF]
G.S. 78A-51 through 78A-55 78A-51 through 78A-55. Reserved for future codification purposes.[HTML] [RTF]
Article 7 - Civil Liabilities and Criminal Penalties. [HTML] [RTF]
G.S. 78A-56 78A-56. Civil liabilities.[HTML] [RTF]
G.S. 78A-57 78A-57. Criminal penalties.[HTML] [RTF]
G.S. 78A-58 78A-58. Obstruction of investigation.[HTML] [RTF]
G.S. 78A-59 through 78A-62 78A-59 through 78A-62. Reserved for future codification purposes.[HTML] [RTF]
Article 8 - Miscellaneous Provisions. [HTML] [RTF]
G.S. 78A-63 78A-63. Scope of the Chapter; service of process.[HTML] [RTF]
G.S. 78A-64 78A-64. Statutory policy.[HTML] [RTF]
G.S. 78A-65 78A-65. Repeal and saving provisions.[HTML] [RTF]
G.S. 78A-66 78A-66. Jurisdictional limitations.[HTML] [RTF]