Chapter 78A - North Carolina Securities Act.

The General Statutes include changes from January 1, 2018 through August 4, 2018 (SL 2018-1 through SL 2018-131).

General Statutes published on this website are not official. Please read the caveats for more information.

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