Section .1200 - Exemptions | Midpage

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North Carolina Administrative Code

§ 1200

Section .1200 - Exemptions

.1201Designated Securities Exchanges (Repealed).1202Recognized Securities Manuals .1203Information Filed by Registered Dealer .1204LIMITED OFFERINGS (REPEAled).1205Limited Offerings Pursuant to G.S. 78a‑17(9).1206Limited Offering Exemption Pursuant to G.S. 78a‑17(17).1207Disqualifications from Reliance upon Certain Exemptions .1208Transactions Exempt under Rule .1206: Filing Requirements .1209Nonprofit Securities .1210Securities Exchgs/Auto Quotation Sys Approved/Administrator .1211Notice Filing Procedures for Rule 506 Offerings .1212Notice Filing Procedures for Offerings of Investment Company Securities .1213Transactional Exemption Pursuant to G.S. 78a‑17(19)