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STATUTES
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North Carolina Securities Act (*Please
see important notice below.)
North Carolina Investment Advisers Act
North Carolina Commodities Act
North Carolina Administrative Procedure Act
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*On August 7, 2009, North Carolina Governor Beverly
E. Perdue signed Senate Bill 202 into law. Included in this new law was an amendment
to North Carolina General Statutes §78A-37(b) concerning initial and renewal registration
fees for securities salesmen. The amendment, contained in Section 24.1.(a) of the
law, increased the registration fee for a securities salesman from $75.00 to $125.00,
effective August 15, 2009. The full legislative language is contained in Session
Law 2009-451.
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*On July 16, 2008, North Carolina Governor Michael F.
Easley signed House Bill 2436 into law. Included in this new law was an amendment
to North Carolina General Statutes § 78A‑31(a)(4) concerning notice filings for
offerings of investment company securities. The amendment, contained in Section
29.3 of the law, increased the annual filing fee for such covered securities from
$250.00 to $2000.00, effective July 20, 2008. The full legislative language is contained
in
Session Law 2008-107.
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RULES
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Title 18, Chapter 06A of the North Carolina Administrative Code
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Adopted Model Rules
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ORDERS
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NEW! Order granting temporary relief for investment advisers previously exempt from registration under N.C.G.S. §78C-16(a)(4).
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Internet Order
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BULLETINS
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Informational Bulletin NC-IA 2011-001
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Informational Bulletin NC-IA 2011-002
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