Section .1300 - Registration of Securities | Midpage

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North Carolina Administrative Code

§ 1300

Section .1300 - Registration of Securities

.1301Registration by Notification .1302Registration by Coordination .1303Registration by Qualification .1304Securities Registration and Filing Fees .1305Sponsorship by Dealer .1306Confirmation of Registration .1307Commissions and Expenses .1308Advertising .1309ADVERTISEMENTS NOT DEEMED PROSPECTUS: ETC. (repealed).1310Offering Price .1311SHELF REGISTRATIONS (repealed).1312REGISTRATION OF REAL ESTATE SECURITIES (repealed).1313Registration of Direct Participation Program Securities .1314Escrow Agreements .1315Notice of Completion of Offering/Final Sales Report .1316Legends Required .1317Amendment of Filings .1318Automatic Withdrawal of Application for Registration .1319required disclosures: viatical settlement contracts .1320Viatical Settlement Contract Suitability Requirements