reglab/housing_qa huggingface dataset:
NC Gen Stat § 78C-98 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-98 - Prohibited conduct.

 78C-98. Prohibited conduct.(a) An athlete agent, with the intent to induce a student-athlete to enter into an agency contract, shall not:(1) Give any materially false or misleading information or make a materially false promise or representation.(2) Furnish anything of value to a student-athlete before the student-athlete enters into the agency contract.(3) Furnish anything of value to any individual other than the student-athlete or another registered athlete agent.(b) An athlete agent shall not intentionally:(1) Initiate contact with a student-athlete unless the athlete agent is registered under this Article.(2) Refuse or fail to retain or permit inspection of the records required to be retained by G.S. 78C-97.(3) Fail to register as required by G.S. 78C-88.(4) Provide materially false or misleading information in an application for registration or renewal of registration.(5) Predate or postdate an agency contract.(6) Fail to notify a student-athlete before the student-athlete signs or otherwise authenticates an agency contract for a particular sport that the signing or authentication shall make the student-athlete ineligible to participate as a student-athlete in that sport. (2003-375, s. 2.)
NC Gen Stat § 78C-99 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-99 - Criminal penalties.

 78C-99. Criminal penalties.An athlete agent who violates any provision under G.S. 78C-98(a) is guilty of a Class I felony. (2003-375, s. 2.)
NC Gen Stat § 78C-100 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-100 - Civil remedies.

 78C-100. Civil remedies.(a) An educational institution has a right of action against an athlete agent or a former student-athlete for damages caused by a violation of this Article. In an action under this section, the court may award costs and reasonable attorneys' fees to the prevailing party.(b) Damages suffered by an educational institution under subsection (a) of this section include losses and expenses incurred because, as a result of the conduct of an athlete agent or former student-athlete, the educational institution was injured by a violation of this Article or was penalized, disqualified, or suspended from participation in athletics by: (i) a national association for the promotion and regulation of athletics; (ii) an athletic conference; or (iii) reasonable self-imposed disciplinary action taken to mitigate sanctions likely to be imposed by an athletic organization.(c) A right of action under this section does not accrue until the educational institution discovers, or by the exercise of reasonable diligence would have discovered, the violation by the athlete agent or former student-athlete.(d) Any liability of the athlete agent or the former student-athlete under this section is several and not joint.(e) This Article does not restrict rights, remedies, or defenses of any person under law or equity. (2003-375, s. 2.)
NC Gen Stat § 78C-101 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-101 - Administrative penalty.

 78C-101. Administrative penalty.The Secretary of State may assess a civil penalty against an athlete agent not to exceed twenty-five thousand dollars ($25,000) for a violation of this Article. (2003-375, s. 2.)
NC Gen Stat § 78C-102 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-102 - Uniformity of application and construction.

 78C-102. Uniformity of application and construction.In applying and construing this Uniform Act, consideration must be given to the need to promote uniformity of the law with respect to its subject matter among states that enact it. (2003-375, s. 2.)
NC Gen Stat § 78C-103 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-103 - Electronic Signatures in Global and National Commerce Act.

 78C-103. Electronic Signatures in Global and National Commerce Act.The provisions of this Article governing the legal effect, validity, or enforceability of electronic records or signatures, and of contracts formed or performed with the use of those records or signatures, conform to the requirements of section 102 of the Electronic Signatures in Global and National Commerce Act, Pub. L. 106-229, 114 Stat. 464 (2000), and supersede, modify, and limit the Electronic Signatures in Global and National Commerce Act. (2003-375, s. 2.)
NC Gen Stat § 78C-104 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-104 - Severability.

 78C-104. Severability.If any provision of this Article or its application to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of this Article which can be given effect without the invalid provision or application, and to this end the provisions of this Article are severable. (2003-375, s. 2.)
NC Gen Stat § 78C-105 (2021)
2021 North Carolina General Statutes|Chapter 78C - Investment Advisers|Article 9 - Uniform Athlete Agents Act.|§ 78C-105 - Rules.

 78C-105. Rules.The Secretary of State may, in accordance with Chapter 150B of the General Statutes, adopt rules necessary to carry out the provisions of this Article. (2003-375, s. 2.)
NC Gen Stat § 78D-2 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 1 - Scope.|§ 78D-2 - Unlawful commodity transactions.

 78D-2. Unlawful commodity transactions.Except as otherwise provided in G.S. 78D-3 or G.S. 78D-4, no person shall sell or purchase or offer to sell or purchase any commodity under any commodity contract or under any commodity option or offer to enter into or enter into as seller or purchaser any commodity contract or any commodity option. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-3 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 1 - Scope.|§ 78D-3 - Exempt person transactions.

 78D-3. Exempt person transactions.The prohibitions in G.S. 78D-2 shall not apply to any transaction offered by and in which any of the following persons (or any employee, officer or director thereof acting solely in that capacity) is the purchaser or seller:(1) A person registered with the Commodity Futures Trading Commission as a futures commission merchant or as a leverage transaction merchant whose activities require such registration;(2) A person registered with the Securities and Exchange Commission as a broker-dealer whose activities require such registration;(3) A person affiliated with, and whose obligations and liabilities under the transaction are guaranteed by, a person referred to in subdivisions (1) or (2) of this section;(4) A person who is a member of a contract market designated by the Commodity Futures Trading Commission (or any clearinghouse thereof);(5) A financial institution; or(6) A person registered under the laws of this State as a securities broker-dealer whose activities require such registration.The exemption provided by this section shall not apply to any transaction or activity which is prohibited by the Commodity Exchange Act or CFTC Rule. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-5 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 1 - Scope.|§ 78D-5 - Unlawful commodity activities.

 78D-5. Unlawful commodity activities.(a) No person shall engage in a trade or business or otherwise act as a commodity merchant unless such person (i) is registered or temporarily licensed with the Commodity Futures Trading Commission for each activity constituting such person as a commodity merchant and such registration or temporary license shall not have expired, nor been suspended nor revoked; or (ii) is exempt from such registration by virtue of the Commodity Exchange Act or of a CFTC rule.(b) No board of trade shall trade, or provide a place for the trading of, any commodity contract or commodity option required to be traded on or subject to the rules of a contract market designated by the Commodity Futures Trading Commission unless such board of trade has been so designated for such commodity contract or commodity option and such designation shall not have been vacated, nor suspended nor revoked. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-6 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 1 - Scope.|§ 78D-6 - Fraudulent conduct.

 78D-6. Fraudulent conduct.No person, shall directly or indirectly:(1) Cheat or defraud, or attempt to cheat or defraud, any other person or employ any device, scheme or artifice to defraud any other person;(2) Make any false report, enter any false record, or make any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading;(3) Engage in any transaction, act, practice or course of business, including, without limitation, any form of advertising or solicitation, which operates or would operate as a fraud or deceit upon any person; or(4) Misappropriate or convert the funds, security or property of any other person;in or in connection with the purchase or sale of, the offer to sell, the offer to purchase, the offer to enter into, or the entry into of, any commodity contract or commodity option subject to the provisions of G.S. 78D-2, 78D-3, 78D-4(a)(2) or G.S. 78D-4(a)(4) of this Chapter. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-7 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 1 - Scope.|§ 78D-7 - Liability of principals, controlling persons and others.

 78D-7. Liability of principals, controlling persons and others.(a) The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust within the scope of his employment or office shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust, as well as of such official, agent, or other person.(b) Every person who directly or indirectly controls another person liable under any provision of this Chapter, every partner, officer, or director of such other person, every person occupying a similar status or performing similar functions, every employee of such other person who materially aids in the violation is also liable jointly and severally with and to the same extent as such other person, unless the person who is also liable by virtue of this provision sustains the burden of proof that he did not know, and in exercise of reasonable care could not have known, of the existence of the facts by reason of which the liability is alleged to exist. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-8 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 1 - Scope.|§ 78D-8 - Securities and laws unaffected.

 78D-8. Securities and laws unaffected.Nothing in this Chapter shall impair, derogate or otherwise affect the authority or powers of the Administrator under Chapters 78A or 78C of the General Statutes or the application of any provision thereof to any person or transaction subject thereto. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-9 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 1 - Scope.|§ 78D-9 - Purpose.

 78D-9. Purpose.This Chapter may be construed and implemented to effectuate its general purpose to protect investors, to prevent and prosecute illegal and fraudulent schemes involving commodity contracts and to maximize coordination with federal and other states' laws and the administration and enforcement thereof. This Chapter is not intended to create any rights or remedies upon which actions may be brought by private persons against persons who violate the provisions of this Chapter. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-21 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 2 - Administration and Enforcement.|§ 78D-21 - Investigations.

 78D-21. Investigations.(a) The Administrator may make investigations, within or without this State, as it finds necessary or appropriate to:(1) Determine whether any person has violated, or is about to violate, any provision of this Chapter or any rule or order of the Administrator; or(2) Aid in enforcement of this Chapter.(b) The Administrator may publish information concerning any violation of this Chapter or any rule or order of the Administrator.(c) For purposes of any investigation or proceeding under this Chapter, the Administrator or any officer or employee designated by rule or order, 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 finds to be relevant or material to the inquiry.(d) (1) If a person does not give testimony or produce the documents required by the Administrator or a designated employee pursuant to an administrative subpoena, the Administrator or designated employee may apply for a court order compelling compliance with the subpoena or the giving of the required testimony.(2) The request for order of compliance may be addressed to either:a. The Superior Court of Wake County where service may be obtained on the person refusing to testify or produce, if the person is within this State; orb. The appropriate court of the State having jurisdiction over the person refusing to testify or produce, if the person is outside this State.(e) The Administrator in his discretion may appoint commodities law enforcement agents and other enforcement personnel.(1) Subject Matter Jurisdiction. - The responsibility of an agent shall be enforcement of this Chapter.(2) Territorial Jurisdiction. - A commodities law enforcement agent is a State officer with jurisdiction throughout the State.(3) Service of Orders of the Administrator. - Commodities law enforcement agents may serve and execute notices, orders, or demands issued by the Administrator for the surrender of registrations or relating to any administrative proceeding. While serving and executing such notices, orders, or demands, commodities law enforcement agents shall have all the power and authority possessed by law enforcement officers when executing an arrest warrant. (1989, c. 634, s. 1.)
NC Gen Stat § 78D-22 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 2 - Administration and Enforcement.|§ 78D-22 - Enforcement of Chapter.

 78D-22. Enforcement of Chapter.(a) If the Administrator believes, whether or not based upon an investigation conducted under G.S. 78D-21 that any person has engaged or is about to engage in any act or practice constituting a violation of any provision of this Chapter or any rule or order hereunder, the Administrator may:(1) Issue a cease and desist order;(2) Issue an order imposing a civil penalty in an amount which may not exceed twenty-five thousand dollars ($25,000) for any single violation or five hundred thousand dollars ($500,000) for multiple violations in a single proceeding or a series of related proceedings;(3) Issue an order requiring reimbursement of the costs of investigation; or(4) Initiate any of the actions specified in subsection (b) of this section.The clear proceeds of civil penalties imposed pursuant to this subsection shall be remitted to the Civil Penalty and Forfeiture Fund in accordance with G.S. 115C-457.2. Any reimbursement of costs imposed by this subsection shall be paid to the General Fund.(b) The Administrator may institute any of the following actions in the appropriate courts of this State, or in the appropriate courts of another state, in addition to any legal or equitable remedies otherwise available:(1) A declaratory judgment;(2) An action for a prohibitory or mandatory injunction to enjoin the violation and to ensure compliance with this Chapter or any rule or order of the Administrator;(3) An action for disgorgement; or(4) An action for appointment of a receiver or conservator for the defendant or the defendant's assets. (1989, c. 634, s. 1; 1998-215, s. 123.)
NC Gen Stat § 78D-24 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 2 - Administration and Enforcement.|§ 78D-24 - Criminal penalties.

 78D-24. Criminal penalties.(a) Any person who willfully violates any provision of this Chapter is guilty of a felony. If the losses caused by the violation or violations are one hundred thousand dollars ($100,000) or more, the person is guilty of a Class C felony. If the losses caused by the violation or violations are less than one hundred thousand dollars ($100,000), the person is guilty of a Class H felony.(b) Any person convicted of violating a rule or order under this Chapter may be fined, but may not be imprisoned, if the person proves he had no knowledge of the rule or order.(c) In lieu of a fine otherwise authorized by law, a person who has been convicted of or who has pleaded guilty or no contest to having engaged in conduct in violation of the provisions of this Chapter may be sentenced to pay a fine that does not exceed the greater of three times the gross value gained or three times the gross loss caused by such conduct, plus court costs and the costs of investigation and prosecution, reasonably incurred.(d) The Administrator may refer such evidence as is available concerning violations of this Chapter or any rule or order of the Administrator to the Attorney General or the proper district attorney, who may, with or without such a reference from the Administrator, institute the appropriate criminal proceedings under this Chapter. Upon receipt of such reference, the Attorney General or the district attorney may request that a duly employed attorney of the Administrator prosecute or assist in the prosecution of such violation or violations on behalf of the State. Upon approval of the Administrator, such employee shall be appointed a special prosecutor for the Attorney General or the district attorney to serve without compensation from the Attorney General or district attorney. Such special prosecutor shall have all the powers and duties prescribed by law for Assistant Attorneys General or district attorneys and such other powers and duties as are lawfully delegated to such special prosecutor by the Attorney General or the district attorney.(e) Nothing in this Chapter limits the power of the State to punish any person for any conduct which constitutes a crime by statute or at common law. (1989, c. 634, s. 1; 2003-413, s. 26.)
NC Gen Stat § 78D-25 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 2 - Administration and Enforcement.|§ 78D-25 - Administration of Chapter.

 78D-25. 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, 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) Neither the Administrator nor any employees of the Administrator shall use any information which is filed with or obtained by the Administrator which is not public information for personal gain or benefit, nor shall the Administrator nor any employees of the Administrator conduct any securities or commodity dealings whatsoever based upon any such information, even though public, if there has not been a sufficient period of time for the securities or commodity markets to assimilate such information.(c) (1) Except as provided in subdivision (2) of this subsection, all information collected, assembled or maintained by the Administrator is public information and is available for the examination of the public as provided by Chapter 132 of the General Statutes.(2) The following are exceptions to subdivision (1) which are deemed to be confidential:a. Information obtained in private investigations pursuant to G.S. 78D-21 of this Chapter;b. Information made confidential by the provisions of Chapter 132 of the General Statutes;c. Information obtained from federal agencies which may not be disclosed under federal law.(3) The Administrator in his discretion may disclose any information made confidential under subsection (2)a. to persons identified in G.S. 78D-26(a).(4) No provision of this Chapter either creates or derogates any privilege which exists at common law, by statute or otherwise when any documentary or other evidence is sought under subpoena directed to the Administrator or any employee of the Administrator. (1989, c. 634, s. 1; 2001-126, s. 11.)
NC Gen Stat § 78D-26 (2021)
2021 North Carolina General Statutes|Chapter 78D - Commodities Act|Article 2 - Administration and Enforcement.|§ 78D-26 - Cooperation with other agencies.

 78D-26. Cooperation with other agencies.(a) To encourage uniform application and interpretation of this Chapter and securities regulation and enforcement in general, the Administrator and the employees of the Administrator may cooperate, including bearing the expense of the cooperation, with the securities agencies or administrator of another jurisdiction, Canadian province or territory or such other agencies administering this Chapter, the Commodity Futures Trading Commission, the Securities and Exchange Commission, any self-regulatory organization established under the Commodity Exchange Act or the Securities Exchange Act of 1934, any national or international organization of commodities or securities officials or agencies, and any governmental law enforcement agency.(b) The cooperation authorized by subsection (a) shall include, but need not be limited to, the following:(1) Making joint examinations or investigations;(2) Holding joint administrative hearings;(3) Filing and prosecuting joint litigation;(4) Sharing and exchanging personnel;(5) Sharing and exchanging information and documents;(6) Formulating and adopting mutual regulations, statements of policy, guidelines, proposed statutory changes and releases; and(7) Issuing and enforcing subpoenas at the request of the agency administering this Chapter in another jurisdiction, the securities agency of another jurisdiction, the Commodity Futures Trading Commission or the Securities and Exchange Commission if the information sought would also be subject to lawful subpoena for conduct occurring in this State. (1989, c. 634, s. 1.)