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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]

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