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  • In accordance with G.S. 150B, the Department of the Secretary of State has adopted a new rule that incorporates by reference the Model Senior Designation Rule adopted by the North American Security Administrators Association (NASAA) on March 20, 2008. The rule applies to the natural persons registered as securities dealers or salesmen and as investment advisers or investment adviser representatives. In North Carolina, securities and investment registrants are prohibited by law from engaging in dishonest or unethical conduct. The rule merely clarifies the extent of prohibited conduct as well as what constitutes permissible conduct. The rule was approved without comment by the Rules Review Commission on January 21, 2010. The rule became effective February 1, 2010. To read the rule, click here.