reglab/housing_qa huggingface dataset:
NC Gen Stat § 78C-26 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 4 - Administration and Review.|§ 78C-26 - Administration of Chapter.

 78C-26. Administration of Chapter.(a) This Chapter shall be administered by the Secretary of State. The Secretary of State as Administrator may delegate all or part of the authority under this Chapter to the Deputy Securities Administrator including, but not limited to, the authority to conduct hearings, and make, execute and issue final agency orders and decisions. The Secretary of State may appoint such clerks and other assistants as may from time to time be needed. The Secretary of State may designate one or more hearing officers for the purpose of conducting administrative hearings.(b) It is unlawful for the Administrator or any of his officers or employees to use for personal benefit any information which is filed with or obtained by the Administrator and which is not made public. No provision of this Chapter authorizes the Administrator or any of his officers or employees to disclose any such information except among themselves or when necessary or appropriate in a proceeding or investigation under this Chapter. No provision of this Chapter either creates or derogates from any privilege which exists at common law or otherwise when documentary or other evidence is sought under a subpoena directed to the Administrator or any of his officers or employees.(b1) It is the policy of this State that an investor's financial information should be treated as confidential and unavailable for inspection or examination by members of the public under G.S. 132-6.(c) All fees provided for under this Chapter shall be collected by the Administrator and shall be paid over to the State Treasurer to go into the General Fund.  (1987 (Reg. Sess., 1988), c. 1098, s. 1; 2001-126, s. 10; 2020-74, s. 23(c).)
NC Gen Stat § 78C-27 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 4 - Administration and Review.|§ 78C-27 - Investigations and subpoenas.

 78C-27. Investigations and subpoenas.(a) The Administrator in his discretion:(1) May make any investigation within or outside of this State as the Administrator deems necessary to determine whether any person has violated or is about to violate any provision of this Chapter or any rule or order hereunder, or to aid in the enforcement of this Chapter or in the prescribing of rules and forms hereunder;(2) May require or permit any person to file a statement in writing, under oath or otherwise as the Administrator determines, as to all the facts and circumstances concerning the matter to be investigated; and(3) May publish information concerning any violation of this Chapter or any rule or order hereunder.(b) For the purpose of any investigation or proceeding under this Chapter, the Administrator or any officer designated by him may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the Administrator deems relevant or material to the inquiry.(c) In case of contumacy by, or refusal to obey a subpoena issued to any person, any court of competent jurisdiction, upon application by the Administrator, may issue to the person an order requiring him to appear before the Administrator, or the officer designated by him, there to produce documentary evidence if so ordered or to give evidence touching the matter under investigation or in question. Failure to obey the order of the court may be punished by the court as a contempt of court.(d) The Administrator may act under subsection (b) of this section or apply under subsection (c) of this section to enforce subpoenas in this State at the request of a securities agency or administrator of any state if the alleged activities constituting a violation for which the information is sought would be a violation of this Chapter or any rule hereunder if the alleged activities had occurred in this State. (1987 (Reg. Sess., 1988), c. 1098, s. 1; 1997-462, s. 8.)
NC Gen Stat § 78C-29 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 4 - Administration and Review.|§ 78C-29 - Judicial review of orders.

 78C-29. Judicial review of orders.(a) Any person aggrieved by a final order of the Administrator may obtain a review of the order in the Superior Court of Wake County by filing in court, within 30 days after a written copy of the decision is served upon the person by personal service or by registered or certified mail, a written petition praying that the order be modified or set aside in whole or in part. A copy of the petition shall be forthwith served upon the Administrator, and thereupon the Administrator shall certify and file in court a copy of the filing and evidence upon which the order was entered. When these have been filed, the court has exclusive jurisdiction to affirm, modify, enforce, or set aside the order, in whole or in part. The findings of the Administrator as to the facts, if supported by competent, material and substantial evidence, are conclusive. If either party applies to the court for leave to adduce additional material evidence, and shows to the satisfaction of the court that there were reasonable grounds for failure to adduce the evidence in the hearings before the Administrator, the court may order the additional evidence to be taken before the Administrator and to be adduced upon the hearing in such manner and upon such conditions as the court considers proper. The Administrator may modify his findings and order by reason of the additional evidence and shall file in court the additional evidence together with any modified or new findings or order. The judgment of the court is final, subject to review by the Court of Appeals.(b) The commencement of proceedings under subsection (a) of this section does not, unless specifically ordered by the court, operate as a stay of the Administrator's order. (1987 (Reg. Sess., 1988), c. 1098, s. 1.)
NC Gen Stat § 78C-30 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 4 - Administration and Review.|§ 78C-30 - Rules, forms, orders, and hearings.

 78C-30. Rules, forms, orders, and hearings.(a) The Administrator may from time to time make, amend, and rescind such rules, forms, and orders as are necessary to carry out the provisions of this Chapter, including rules and forms governing registration, applications, and reports, and defining any terms, whether or not used in this Chapter, insofar as the definitions are not inconsistent with the provisions of this Chapter. For the purpose of rules and forms the Administrator may classify persons, and matters within his jurisdiction, and prescribe different requirements for different classes.(b) No rule, form, or order may be made, amended, or rescinded unless the Administrator finds that the action is necessary or appropriate in the public interest or for the protection of investors and clients and consistent with the purposes fairly intended by the policy and provisions of this Chapter. In prescribing rules and forms the Administrator may cooperate with the securities administrators of the other states and the Securities and Exchange Commission with a view to effectuating the policy of this statute to achieve maximum uniformity in the form and content of registrations, applications, and reports wherever practicable.(c) The Administrator may by rule or order prescribe (i) the form and content of financial statements required under this Chapter, (ii) the circumstances under which consolidated financial statements shall be filed, and (iii) whether any required financial statements shall be certified by independent or certified public accountants. All financial statements required to be filed with the Administrator shall be audited and shall be prepared in accordance with generally accepted accounting principles, except where the Administrator shall by rule or order provide otherwise.(d) The Administrator may by rule or order require the filing of any prospectus, pamphlet, circular, form letter, advertisement, or other sales literature or advertising communication addressed or intended for distribution to prospective investors, including clients or prospective clients of an investment adviser.(e) All rules and forms of the Administrator shall be published.(f) No provision of this Chapter imposing any liability applies to any act done or omitted in good faith in conformity with any rule, form, or order of the Administrator, notwithstanding that the rule, form, or order may later be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.(g) Every hearing in an administrative proceeding shall be public unless the Administrator in his discretion grants a request joined in by all the respondents that the hearing be conducted privately. (1987 (Reg. Sess., 1988), c. 1098, s. 1; 2003-413, s. 20.)
NC Gen Stat § 78C-40 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 5 - Civil Liabilities and Criminal Penalties.|§ 78C-40 - Burden of proof.

 78C-40. Burden of proof.In a civil or administrative proceeding brought under this Chapter, the burden of proving an exemption or an exception from a definition is upon the person claiming it. In a criminal proceeding brought under this Chapter, the State has no initial burden of producing evidence to show that the defendant's actions do not fall within the exemption or exceptions; however, once the defendant introduces evidence to show that his conduct is within the exemption or exception, the burden of persuading the trier of fact that the exemption or exception does not apply falls upon the State. (1987 (Reg. Sess., 1988), c. 1098, s. 1.)
NC Gen Stat § 78C-47 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 6 - Miscellaneous Provisions.|§ 78C-47 - Statutory policy.

 78C-47. Statutory policy.This Chapter shall be so construed as to effectuate its general purpose to make uniform the law of those states which enact it and to coordinate the interpretation and administration of this Chapter with the related federal regulation. Nothing in this Chapter shall be construed to limit or preclude the applicability of any provision of Chapters 78A or 150B of the General Statutes. (1987 (Reg. Sess., 1988), c. 1098, s. 1.)
NC Gen Stat § 78C-48 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 6 - Miscellaneous Provisions.|§ 78C-48 - Severability of provisions.

 78C-48. Severability of provisions.If any provision of this Chapter or the application thereof to any person or circumstance is held invalid, the invalidity shall not affect other provisions or applications of the Chapter which can be given effect without the invalid provision or application, and to this end the provisions of this Chapter are severable. (1987 (Reg. Sess., 1988), c. 1098, s. 1.)
NC Gen Stat § 78C-60 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 7 - Sports Agents.|§ 78C-60 - through 78C-62: Expired.

 78C-60 through 78C-62: Expired.
NC Gen Stat § 78C-85 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-85 - Title.

 78C-85. Title.This Article may be cited as the "Uniform Athlete Agents Act". (2003-375, s. 2.)
NC Gen Stat § 78C-86 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-86 - Definitions.

 78C-86. Definitions.The following definitions apply in this Article:(1) Agency contract. - An agreement in which a student-athlete authorizes a person to negotiate or solicit on behalf of the student-athlete a professional-sports-services contract or an endorsement contract.(2) Athlete agent. - An individual who enters into an agency contract with a student-athlete or, directly or indirectly, recruits or solicits a student-athlete to enter into an agency contract. The term includes an individual who represents to the public that the individual is an athlete agent. The term does not include a spouse, parent, sibling, or guardian of the student-athlete or an individual acting solely on behalf of a professional sports team or professional sports organization.(3) Athletic director. - An individual responsible for administering the overall athletic program of an educational institution or, if an educational institution has separately administered athletic programs for male students and female students, the athletic program for males or the athletic program for females, as appropriate.(4) Contact. - A communication, direct or indirect, between an athlete agent and a student-athlete to recruit or solicit the student-athlete to enter into an agency contract.(5) Endorsement contract. - An agreement under which a student-athlete is employed or receives consideration to use on behalf of the other party any value that the student-athlete may have because of publicity, reputation, following, or fame obtained because of athletic ability or performance.(6) Intercollegiate sport. - A sport played at the collegiate level for which eligibility requirements for participation by a student-athlete are established by a national association for the promotion or regulation of collegiate athletics.(7) Person. - An individual, company, corporation, partnership, association, or any other legal or commercial entity.(8) Professional-sports-services contract. - An agreement under which an individual is employed or agrees to render services as a player on a professional sports team, with a professional sports organization, or as a professional athlete.(9) Record. - Information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.(10) Registration. - A certificate issued by the Secretary of State evidencing that a person has satisfied the requirements of an athlete agent pursuant to this Article.(11) Student-athlete. - An individual who engages in, is eligible to engage in, or may be eligible in the future to engage in any intercollegiate sport. If an individual is permanently ineligible to participate in a particular intercollegiate sport, the individual is not a student-athlete for purposes of that sport. (2003-375, s. 2.)
NC Gen Stat § 78C-87 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-87 - Service of process; subpoenas.

 78C-87. Service of process; subpoenas.(a) By acting as an athlete agent in this State, a nonresident individual appoints the Secretary of State as the individual's agent for service of process in any civil action in this State related to the individual's acting as an athlete agent in this State.(b) The Secretary of State may issue subpoenas for any material that is relevant to the administration of this Article. (2003-375, s. 2.)
NC Gen Stat § 78C-88 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-88 - Athlete agents; registration required; exceptions; void contracts.

 78C-88. Athlete agents; registration required; exceptions; void contracts.(a) Except as otherwise provided in this section, an individual may not act as an athlete agent in this State without holding a certificate of registration under G.S. 78C-90 or G.S. 78C-92.(b) Before being issued a certificate of registration, an individual may act as an athlete agent in this State for all purposes except signing an agency contract if: (i) a student-athlete or another person acting on behalf of the student-athlete initiates communication with the individual; and (ii) within seven days after an initial act as an athlete agent, the individual submits an application for registration as an athlete agent in this State.(c) A North Carolina licensed and resident attorney may act as an athlete agent in this State for all purposes without registering pursuant to this section if the attorney neither advertises directly for, nor solicits, any student-athlete by representing to any person that the attorney has special experience or qualifications with regard to representing student-athletes and represents no more than two student-athletes.(d) An agency contract resulting from conduct in violation of this section is void, and the athlete agent shall return any consideration received under the contract. (2003-375, s. 2.)
NC Gen Stat § 78C-91 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-91 - Suspension; revocation; refusal to renew registration.

 78C-91. Suspension; revocation; refusal to renew registration.(a) The Secretary of State may suspend, revoke, or refuse to renew a registration for conduct that would have justified denial of registration under G.S. 78C-90(b).(b) The Secretary of State may deny, suspend, revoke, or refuse to renew a certificate of registration or licensure only after proper notice and an opportunity for a hearing in accordance with the Administrative Procedures Act pursuant to Article 3 of Chapter 150B of the General Statutes. (2003-375, s. 2.)
NC Gen Stat § 78C-92 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-92 - Temporary registration.

 78C-92. Temporary registration.The Secretary of State may issue a temporary certificate of registration while an application for registration or renewal of registration is pending. (2003-375, s. 2.)
NC Gen Stat § 78C-93 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-93 - Registration; renewal of fees.

 78C-93. Registration; renewal of fees.An application for registration or renewal of registration must be accompanied by a fee in the following amount:(1)....... Application for registration................................................................ $200.00(2)....... Application for registration based upon a certificate of ........... registration or licensure issued by another state.................................. 200.00(3)....... Application for renewal of registration................................................ 200.00(4)....... Application for renewal of registration based upon an ........... application for renewal of registration or licensure ........... submitted in another state..................................................................... 200.00. (2003-375, s. 2.)
NC Gen Stat § 78C-94 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-94 - Required form of contract.

 78C-94. Required form of contract.(a) An agency contract must be in a record, signed or otherwise authenticated by the parties.(b) An agency contract must state or contain the following:(1) The amount and method of calculating the consideration to be paid by the student-athlete for services to be provided by the athlete agent under the contract and any other consideration the athlete agent has received or will receive from any other source for entering into the contract or for providing the services.(2) The name of any person not listed in the application for registration or renewal of registration who will be compensated because the student-athlete signed the agency contract.(3) A description of any expenses that the student-athlete agrees to reimburse.(4) A description of the services to be provided to the student-athlete.(5) The duration of the contract.(6) The date of execution.(c) An agency contract must contain, in close proximity to the signature of the student-athlete, a conspicuous notice in boldface type in capital letters stating:WARNING TO STUDENT-ATHLETE  IF YOU SIGN THIS CONTRACT:  (1) YOU SHALL LOSE YOUR ELIGIBILITY TO COMPETE AS A STUDENT-ATHLETE IN YOUR SPORT;(2) IF YOU HAVE AN ATHLETIC DIRECTOR, WITHIN 72 HOURS AFTER ENTERING INTO THIS CONTRACT, BOTH YOU AND YOUR ATHLETE AGENT MUST NOTIFY YOUR ATHLETIC DIRECTOR;(3) YOU WAIVE YOUR ATTORNEY-CLIENT PRIVILEGE WITH RESPECT TO THIS CONTRACT AND CERTAIN INFORMATION RELATED TO IT; AND(4) YOU MAY CANCEL THIS CONTRACT WITHIN 14 DAYS AFTER SIGNING IT. CANCELLATION OF THIS CONTRACT SHALL NOT REINSTATE YOUR ELIGIBILITY.(d) An agency contract that does not conform to this section is voidable by the student-athlete. If a student-athlete voids an agency contract, the student-athlete is not required to pay any consideration under the contract or to return any consideration received from the athlete agent to induce the student-athlete to enter into the contract.(e) The athlete agent shall give a record of the signed or otherwise authenticated agency contract to the student-athlete at the time of execution.(f) The waiver of attorney-client privilege does not affect those privileges between client and attorney when the attorney is not an athlete agent. (2003-375, s. 2.)
NC Gen Stat § 78C-95 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-95 - Notice to educational institution.

 78C-95. Notice to educational institution.(a) Within 72 hours after entering into an agency contract or before the next scheduled athletic event in which the student-athlete may participate, whichever occurs first, the athlete agent shall give notice in a record of the existence of the contract to the athletic director of the educational institution at which the student-athlete is enrolled or the athlete agent has reasonable grounds to believe the student-athlete intends to enroll.(b) Within 72 hours after entering into an agency contract or before the next athletic event in which the student-athlete may participate, whichever occurs first, the student-athlete shall inform the athletic director of the educational institution at which the student-athlete is enrolled that he or she has entered into an agency contract. (2003-375, s. 2.)
NC Gen Stat § 78C-96 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-96 - Student-athlete's right to cancel.

 78C-96. Student-athlete's right to cancel.(a) A student-athlete may cancel an agency contract by giving notice of the cancellation to the athlete agent in a record within 14 days after the contract is signed.(b) A student-athlete may not waive the right to cancel an agency contract.(c) If a student-athlete cancels an agency contract, the student-athlete is not required to pay any consideration under the contract or to return any consideration received from the athlete agent to induce the student-athlete to enter into the contract. (2003-375, s. 2.)
NC Gen Stat § 78C-97 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-97 - Required records; waiver of attorney-client privilege.

 78C-97. Required records; waiver of attorney-client privilege.(a) An athlete agent shall retain the following records for a period of five years:(1) The name and address of each individual represented by the athlete agent.(2) Any agency contract entered into by the athlete agent.(3) Any direct costs incurred by the athlete agent in the recruitment or solicitation of a student-athlete to enter into an agency contract.(b) Records required to be retained by subsection (a) of this section are open to inspection by the Secretary of State during normal business hours.(c) Where a student-athlete enters into an agency contract regulated under this Article, the student-athlete will be deemed to waive the attorney-client privilege with respect to records required to be retained by subsection (a) of this section, subject to G.S. 78C-94(f). (2003-375, s. 2.)