reglab/statecodes huggingface dataset:
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2066 - FACTORS ADMINISTRATOR MAY CONSIDER WITH REGARD TO WAIVER REQUESTS

Current through Register Vol. 39, No. 2, July 15, 2024
The Administrator may consider the following factors when
					 considering whether to grant a waiver request:
(1) the benefits to the particular investors
				  and to the general investing public of compliance with the rule for which
				  waiver is requested;
(2) the nature
				  and severity of the actual or potential harm to the public, prospective
				  investors, investors, the funding platform (if the requestor is the issuer), or
				  other members of the regulated community;
(3) the necessity for a waiver as explained
				  in the waiver request;
(4) the harm
				  if the waiver is not granted;
(5)
				  the business history, qualifications, and disciplinary history of the person or
				  persons effecting the securities transactions;
(6) history of prior sanctions imposed on the
				  requester by the Department, the SEC, or FINRA;
(7) the requester's record for timeliness,
				  completeness, and accuracy of filings with the Department;
(8) previous requests from the requester for
				  waivers by the Administrator;
(9)
				  evidence in mitigation and aggravation, including the requestor's expertise in
				  securities law and practice;
(10)
				  the need for full and adequate disclosure of information relevant to investment
				  decisions;
(11) impact of the
				  granting of the waiver on consistency of enforcement by the Administrator;
				  and
(12) any other factors that are
				  relevant to the protection of the investing public.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2067 - ADMINISTRATOR NOTICE OF APPROVAL OR DENIAL OF A WAIVER

Current through Register Vol. 39, No. 2, July 15, 2024
The Administrator shall notify the requestor in writing
					 of:
(1) its decision to consider the
				  request for a waiver; or
(2) of its
				  approval or denial of the request for waiver.
The Administrator shall send the notice to the address
					 stated in the waiver request.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2068 - SIGNATURES

Current through Register Vol. 39, No. 2, July 15, 2024
Unless otherwise specified in
					 G.S.
					 78A-17.1 or this Section, a form or document
					 filed with the Administrator shall be signed by an officer of the entity
					 authorized to sign for the entity. The officer's title or indication of the
					 officer's authority to sign the document shall be entered in the designated
					 space for that information.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2069 - ELECTRONIC SIGNATURE

Current through Register Vol. 39, No. 2, July 15, 2024
(a) Signers of
				  documents electronically submitted to the Administrator in connection with a
				  filing may use any form of electronic signature permissible according to
				  G.S.
				  66-312(9) except that it
				  shall not be a sound.
(b) By
				  electronically submitting a document or form to the Administrator in connection
				  with a filing, the person who signs the document or form submitted affirms the
				  authenticity of the signature on that document or form.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2070 - SIGNATURE VERIFIES INFORMATION IS TRUE

Current through Register Vol. 39, No. 2, July 15, 2024
A signature on a document submitted to the Administrator in
					 connection with a filing shall be the signer's verification that the
					 signer:
(1) has read the form or
				  document; and
(2) knows that all
				  information entered on the form or document is true.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2071 - FILING WITH THE ADMINISTRATOR

Current through Register Vol. 39, No. 2, July 15, 2024
(a) A
				  document may be filed with the Administrator:
(1) electronically;
(2) by hand delivery or by courier to the
				  Secretary of State; or
(3) by mail
				  delivered to the Secretary of State.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2073 - FILING ELECTRONICALLY

Current through Register Vol. 39, No. 2, July 15, 2024
(a) A form or
				  document may be submitted electronically in connection with a filing by:
(1) completing a fillable form on the
				  Department's website at
http://sosnc.gov/Sec/
, when such a form
				  becomes available on the website, and making any required payment of fees
				  accepted through the website;
(2)
				  uploading a completed form or document to the Department's website at
http://sosnc.gov/Sec/
, and making
				  any required payment of fees accepted through the website; or
(3) sending an email with a copy of the form
				  or document to secdiv@sosnc.gov unless payment of a fee is required.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2074 - AMENDING A DOCUMENT FILED WITH THE ADMINISTRATOR

Current through Register Vol. 39, No. 2, July 15, 2024
A filing or other document may be amended by submitting to
					 the Administrator:
(1) a copy of the
				  amended document with the amendments marked to show changes; and
(2) a copy of an amended document without the
				  changes marked.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2075 - ABANDONMENT OR WITHDRAWAL OF FILING

Current through Register Vol. 39, No. 2, July 15, 2024
(a) An issuer,
				  escrow agent, funding portal, or registered dealer shall be deemed to have
				  abandoned the filing if it fails to respond to a request for additional
				  information from the Administrator more than 30 days after the date specified
				  by the Administrator.
(b) An
				  issuer, escrow agent, funding portal, or registered dealer may withdraw a
				  filing by submitting to the Administrator a signed, dated, written request to
				  withdraw the filing.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2000 - INVEST NC EXEMPTION (CROWDFUNDING) › Section 06A .2076 - CALCULATION OF TIME

Current through Register Vol. 39, No. 2, July 15, 2024
Unless a different time period is stated in this Section,
					 time periods shall be calculated according to the provisions of
					 G.S.
					 1A-1, Rule 6.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2101 - PURPOSE

Current through Register Vol. 39, No. 2, July 15, 2024
The purpose of the rules in this Section is to promote the
					 overall economic health of North Carolina by:
(1) facilitating responsible and competitive
				  intrastate capital formation by North Carolina companies through increased
				  availability of financial resources to businesses that might not otherwise have
				  access to capital;
(2) facilitating
				  opportunities for North Carolinians to invest in local businesses;
(3) facilitating the use of general
				  solicitation and advertising in small local public issuer offerings that are
				  conducted in a controlled and documented manner;
(4) facilitating small intrastate capital
				  securities offerings that may use the Internet; and
(5) protecting the investing
				  public.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2102 - SCOPE

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The rules in this Section shall apply to
				  the offer and sale of securities by issuers conducting Local Public Offerings
				  (LPOs).
(b) The rules in Section
				  .2000 of this Subchapter shall apply to securities offerings conducted pursuant
				  to this Section unless inconsistent.
(c) The rules in this Section shall not be
				  construed to relieve any person from the provisions of
				  G.S.
				  78A-8.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2103 - DEFINITIONS

Current through Register Vol. 39, No. 2, July 15, 2024
Except as otherwise provided, the following definitions
					 apply to G.S. 78A-17.1 and this
					 Section:
(1) "Local Public Offering"
				  or "LPO" means a securities offering that:
(a)
				  is conducted by an issuer relying on the Exemption;
(b) is not using either a North Carolina
				  Intrastate Funding Portal or registered dealer;
(c) is in compliance with the rules in
				  Section .2000 of this Subchapter and this Section;
(d) sets a target offering amount of no more
				  than two hundred fifty thousand dollars ($250,000);
(e) shall not exceed 12 consecutive months;
				  and
(f) is sold only to North
				  Carolina residents.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2104 - LPO LIMITATIONS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) An issuer
				  conducting an LPO shall set a target offering amount that is not greater than
				  two hundred fifty thousand dollars ($250,000).
(b) An issuer conducting an LPO shall set a
				  minimum offering amount that shall be no less than 25 percent of the target
				  offering amount set by the issuer.
(c) An issuer may conduct more than one LPO
				  provided that the aggregate amount raised shall not exceed two hundred fifty
				  thousand dollars ($250,000) in the 12 months from the date of the
				  Administrator's notice of compliance pursuant to Rule .2015 of this
				  Subchapter.
(d) An issuer shall not
				  be eligible to file a securities offering pursuant to Section .2000 of this
				  Subchapter until six-months after the conclusion of its prior LPO.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2105 - MANDATORY CONFERENCE

Current through Register Vol. 39, No. 2, July 15, 2024
(a) An issuer
				  offering or selling LPO securities shall contact the Securities Division to
				  arrange and attend a conference with staff of the Division before advertising,
				  offering, or selling securities. The contact may be made by either calling the
				  Division or emailing the Division at secdiv@sosnc.gov.
(b) The issuer and the staff shall discuss
				  the criteria for claiming the Exemption and how the issuer plans to ensure that
				  it is eligible, and remains eligible, to claim the Exemption.
(c) The notice of compliance shall not be
				  issued by the Administrator pursuant to Rule .2015(1) of this Subchapter until
				  the conference required in Paragraph (a) of this Rule has occurred.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2106 - FILING REQUIREMENTS FOR LPO

Current through Register Vol. 39, No. 2, July 15, 2024
(a) An issuer
				  of an LPO shall comply with Rule .2007 of this Subchapter.
(b) In lieu of the Form NCE required by Rule
				  .2007 of this Subchapter, the issuer shall file a Form NC Claim of Exemption -
				  LPO (Form NCE-LPO).
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2107 - CONTENTS OF FORM NCE-LPO

Current through Register Vol. 39, No. 2, July 15, 2024
(a) A
				  Form NCE-LPO shall include:
(1) all
				  information required pursuant to Rule .2008 of this Subchapter;
(2) all websites to be used by the issuer in
				  connection with the LPO;
(3) all
				  social media accounts to be used by the issuer in connection with the LPO;
				  and
(4) an attestation that the
				  issuer is not one of the prohibited entities in Rule .2004(h) of this
				  Subchapter or Rule .2117 of this Section.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2108 - ADDITIONAL LEGEND REQUIREMENT FOR DISCLOSURE DOCUMENT

Current through Register Vol. 39, No. 2, July 15, 2024
On the cover of its disclosure document, an issuer of an
					 LPO shall include the following paragraph in the legend required by Rule
					 .2011(b) of this Subchapter: "If you invest in this offering, you are investing
					 in a type of high-risk, speculative business venture. You may lose all of your
					 investment, so you need to consider whether you can afford the loss of your
					 entire investment."
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2109 - ESCROW PROVISIONS

Current through Register Vol. 39, No. 2, July 15, 2024
The issuer shall comply with the escrow provisions of Rules
					 .2017 through .2028 of this Subchapter.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2110 - OPTIONAL USE OF INTERNET BY AN ISSUER OF AN LPO

Current through Register Vol. 39, No. 2, July 15, 2024
(a) An
				  issuer conducting an LPO may use the Internet to offer and sell its LPO
				  securities but is not required to create a platform. "Platform" means a program
				  or application accessible via the Internet or other similar electronic
				  communication medium where information is provided and where prospective
				  investors, investors, and issuers publicly communicate with each other
				  online.
(b) An issuer that chooses
				  to use the Internet to offer an LPO shall make and maintain records of the
				  communications that are related to the LPO in accordance with Rule .2116 of
				  this Section.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2111 - GENERAL SOLICITATION AND ADVERTISING FILING REQUIREMENTS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) An issuer may use general solicitation or
				  advertising in connection with an LPO if the issuer complies with Rules .2112
				  through .2114 of this Section. An issuer of an LPO shall be responsible for the
				  accuracy and reliability of its general solicitations and
				  advertising.
(b) An issuer shall
				  file its general solicitation or advertising materials with the Administrator
				  in compliance with Rule .2113 of this Section.
(c) At the time of creation and
				  dissemination, an issuer shall preserve all communications, social media posts,
				  and other electronic distributions relating to the LPO.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2112 - GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS REQUIRED

Current through Register Vol. 39, No. 2, July 15, 2024
(a) No later than 10 business days before
				  use, publication, or distribution, the issuer shall file with the Administrator
				  copies of any advertisement, pamphlet, circular, form letter, pitch book, sales
				  literature, sales script, or other advertising communication addressed or
				  intended for distribution to prospective investors relating to the
				  LPO.
(b) No later than 10 business
				  days before any public meeting or gathering promoted through general
				  solicitation or advertising, for the purpose of discussing or presenting
				  information regarding an LPO, the issuer shall provide notice to the
				  Administrator. The notice shall be provided by either calling the Division or
				  emailing the Division at secdiv@sosnc.gov.
(c) Media coverage of an LPO that has been
				  prepared, authorized, approved, paid for, or provided other consideration for,
				  by or on behalf of the issuer shall be deemed general solicitation or
				  advertising and shall be filed in advance with the Administrator pursuant to
				  Rule. 2111 of this Section.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2113 - GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS NOT REQUIRED

Current through Register Vol. 39, No. 2, July 15, 2024
General solicitation or advertising that complies with
					 Rules .2043 and .2044 of this Subchapter that is conducted with or without a
					 website may be used with regard to an LPO without filing it with the
					 Administrator.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2114 - UNACCEPTABLE GENERAL SOLICITATION AND ADVERTISING

Current through Register Vol. 39, No. 2, July 15, 2024
An issuer conducting an LPO shall not use, publish, or
					 distribute any general solicitation or advertising that would violate Rules
					 .1308(d) of this Subchapter or
					 18 NCAC
					 06B .0201.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2115 - ADMINISTRATOR ADVISORY REVIEW OF GENERAL SOLICITATION AND ADVERTISING MATERIALS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The Administrator may object to general
				  solicitation or advertising materials relating to an LPO. The Administrator may
				  consider the factors in
				  18 NCAC
				  06A .1308(d) when
				  considering the materials.
(b) The
				  Administrator may either take no action with regard to the general solicitation
				  or advertising materials or may notify the issuer within 10 business days that
				  it has objections to the materials.
(c) If the issuer receives notice of
				  objections from the Administrator, the issuer shall not use the general
				  solicitation or advertising materials unless it resolves the Administrator's
				  objections.
(d) An issuer may use
				  general solicitation or advertising materials if it has not received an
				  objection from the Administrator within 10 business days.
(e) The issuer shall not directly or
				  indirectly claim that the Administrator has approved the materials.
(f) The Administrator's objections to, or
				  lack of action with regard to, general solicitation and advertising materials
				  shall not relieve the issuer of an LPO of its responsibility for the accuracy
				  and reliability of its general solicitations and advertising.
(g) Advertising conducted in violation of
				  G.S.
				  78A-8, Rule .1308(d) of this Subchapter or
				  18 NCAC
				  06B .0201 is prohibited.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2116 - RECORDKEEPING REQUIREMENTS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) An
				  issuer of an LPO shall comply with the recordkeeping requirements in Rules
				  .2060 and .2062 of this Subchapter.
(b) An issuer of an LPO shall make and
				  maintain copies of all general solicitation materials and advertising for six
				  years after the initial filing of the Form NCE-LPO, regardless of the medium in
				  which the materials were used, published, or distributed.
(c) At the time of creation and
				  dissemination, an issuer shall preserve all communications, social media posts,
				  and other electronic distributions relating to the LPO.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2117 - PROHIBITED LPO ISSUER BUSINESSES

Current through Register Vol. 39, No. 2, July 15, 2024
In addition to the types of companies prohibited by Rule
					 .2004(h) of this Subchapter, an LPO shall not be conducted by an issuer
					 that:
(1) is issuing fractional
				  undivided interests in oil or gas rights, or a similar interest in other
				  mineral rights;
(2) is a company
				  engaging primarily in petroleum, gas, or hydraulic fracturing exploration,
				  production, mining, or other extractive industries;
(3) is an equipment leasing
				  program;
(4) is engaged in
				  peer-to-peer lending, social lending, online marketplace lending, or in the
				  marketplace lending industry;
(5)
				  engages as a substantial part of its business in the purchase, sale, or
				  development, or purchasing, selling, or holding for investment of commercial
				  paper, notes, other indebtedness, financial instruments, securities, or real
				  property, or otherwise make investments; or
(6) is a real estate investment trust
				  ("REIT").
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
					 78A-64; S.L. 2016-103,
					 s.4.(a);
Eff. April 1, 2017 to expire on April 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2118 - ADMINISTRATOR MAY CONSIDER CERTAIN OTHER BUSINESS STRUCTURES

Current through Register Vol. 39, No. 2, July 15, 2024
(a) Issuers with complex business structures
				  not listed in Rule .2113 of this Subchapter that plan to conduct an LPO shall
				  request review by the Administrator. NOTE: For example, an issuer seeking to
				  conduct an LPO for a real estate program may have a complex business and
				  request review by the Administrator.
(b) An issuer seeking review by the
				  Administrator pursuant to Paragraph (a) of this Rule shall:
(1) submit a request for review in writing at
				  least 30 business days before the filing of the Form NCE-LPO for the LPO;
				  and
(2) submit information and
				  documents that show that the issuer can provide adequate disclosure to
				  investors concerning the issuer, the securities offered, and the offering
				  itself.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2119 - REVIEW OF THE ISSUER BUSINESS STRUCTURE

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The
				  Administrator may consider the following to determine whether the LPO's
				  proposed business is suitable for an LPO:
(1)
				  the complexity of the business, the LPO, or the issuer;
(2) whether the simplified disclosures
				  required by
				  G.S.
				  78A-17.1, Section .2000 of this Subchapter
				  and the rules in this Section can adequately be made in light of the complexity
				  of the business; and
(3)
				  suitability of the investment for investors.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter A - RECODIFIED RULES › Section .2100 - RULES FOR LOCAL PUBLIC OFFERINGS (LPO) › Section 06A .2120 - SUNSET PROVISION

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The
				  Administrator shall not accept any new Form NCE-LPO or other filing related to
				  a new LPO after April 1, 2025.
(b)
				  The rules in this Section shall expire on April 1, 2026.
Authority
					 G.S.
					 78A-17.1(a)(5);
					 78A-17.1(f);
					 78A-49(a);
					 78A-49(d);
Eff. April 1, 2017;
Temporary Amendment Eff. July 1,
					 2020;
Amended Eff. February 1,
					 2021.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter B - GENERAL › Section .0100 - PURPOSE › Section 06B .0101 - SCOPE

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The rules in this Chapter execute the
				  authority granted to the Secretary of State pursuant to the following Chapters
				  of the North Carolina General Statutes ("the Secretary's authority"):
(1) Chapter 78A, the North Carolina
				  Securities Act;
(2) Chapter 78C,
				  the North Carolina Investment Advisers Act, including the Uniform Athlete
				  Agents Act;
(3) Chapter 78D, the
				  North Carolina Commodities Act; and
(4) Article 4, Part 5, of Chapter 105, Tax
				  Credits for Qualified Business Investments.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter B - GENERAL › Section .0100 - PURPOSE › Section 06B .0102 - ADMINISTRATION

Current through Register Vol. 39, No. 2, July 15, 2024
(a) "Administrator"
				  as used in this Chapter means the Secretary of State.
(b) The Deputy Securities Administrator shall
				  carry out the duties assigned by statute and rule to the Administrator in G.S.
				  Chapters 78A, 78C, 78D, and Article 4, Part 5, of Chapter 105, Tax Credits for
				  Qualified Business Investments.
(c)
				  "Department" as used in this Chapter means the Department of the Secretary of
				  State.
(d) "Division" as used in
				  this Chapter means the Securities Division of the Department of the Secretary
				  of State.
Authority
					 G.S.
					 78A-45(a);
					 78A-49(a);
					 78C-26(a);
					 78C-30(a);
					 78C-105;
					 78D-25;
					 78D-27;
					 105-163.013;
Eff.
					 April 1, 2009;
Pursuant to
					 G.S.
					 150B-21.3A, rule is necessary without
					 substantive public interest Eff. December 6,
					 2016.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter B - GENERAL › Section .0200 - CONSOLIDATED RULES › Section 06B .0201 - SENIOR DESIGNATION AS DISHONEST OR UNETHICAL PRACTICE

Current through Register Vol. 39, No. 2, July 15, 2024
(a) This Rule applies to natural persons
				  registered with the Division as securities dealers, securities salesmen,
				  investment advisers or investment adviser representatives.
(b) The NASAA Model Rule On The Use of
				  Senior-Specific Certifications and Professional Designation, as adopted March
				  20, 2008, including subsequent amendments and editions, is hereby incorporated
				  by reference. Copies of the NASAA Model Rule On The Use of Senior-Specific
				  Certifications and Professional Designation are available free of charge on the
				  Division's web page at
https://www.sosnc.gov
or at the NASAA web
				  site,
www.nasaa.org
, under "Adopted Model
				  Rules."
(c) As used in the Model
				  Rule, the "appropriate State securities act provisions" are
				  G.S.
				  78A-39 and
				  78C-19.
Authority
					 G.S.
					 78A-39;
					 78A-49;
					 78C-19;
					 78C-30;
					 150B-21.6;
Eff.
					 February 1, 2010;
Pursuant to
					 G.S.
					 150B-21.3A, rule is necessary without
					 substantive public interest Eff. December 6, 2016;
Amended Eff.
					 October 1, 2019.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0101 - LETTER OF INQUIRY

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The Division
				may issue a Letter of Inquiry to anyone engaging in activities which may
				subject them to the jurisdiction of the Administrator. The purpose of a Letter
				of Inquiry is to obtain information or documents necessary to the understanding
				of matters under investigation.
(b)
				Anyone who is subject to the jurisdiction of the Administrator and who receives
				a Letter of Inquiry shall respond to the Letter of Inquiry in writing with:
(1) such information as is within his or her
				personal knowledge;
(2) recorded
				information in any form, including business records, under the recipient's
				control; and
(3) the identity of
				any other person whom the recipient believes has information relevant to the
				subject of a Letter of Inquiry who is subject to the jurisdiction of the
				Administrator.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0102 - INVESTIGATIVE SUBPOENAS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) When the
				Administrator issues subpoenas for testimony, written statements or documents
				during the course of an investigation, the recipient of a subpoena may object
				to the subpoena. Objections to compliance with a subpoena, including but not
				limited to, claims of privilege, hardship, or inadequate time for compliance,
				shall be filed in writing with the Administrator. Objections shall be filed no
				later than the time for compliance set in the subpoena. Written objections to a
				subpoena shall state the legal and factual basis for the objections.
(b) The recipient of a subpoena who files
				written objections to the subpoena shall comply with any portions of the
				subpoena which are not expressly included in the written objections.
(c) Upon receipt of written objections to an
				investigative subpoena, the Division may attempt to reach a written settlement
				of the objections with the recipient.
(d) This Rule does not restrict, or
				constitute a pre-condition to, the Administrator's right to seek enforcement of
				an investigative subpoena in court.
Authority
				  G.S.
				  78A-46;
				  78A-49;
				  78C-27;
				  78C-30;
				  78C-87;
				  78D-21;
				  78D-25;
				  78D-26;
				  78D-27;
				  105-163.013;
				  150B-38(h);
				  150B-40;
Eff. April
				  1, 2009;
Pursuant to
				  G.S.
				  150B-21.3A, rule is necessary without
				  substantive public interest Eff. December 6,
				  2016.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0103 - ADMINISTRATIVE HEARINGS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The Division
				shall bring proceedings pursuant to the statutes and rules it enforces in the
				name of the Division against one or more respondents.
(b) The Division shall commence proceedings
				before the Administrator in which a sanction or payment, other than a civil
				monetary penalty or reimbursement of investigation costs is sought, as provided
				in Chapters 78A, 78C, 78D, Article 4, Part 5, of Chapter 105 and Article 3A,
				Chapter 150B, of the General Statutes and the rules in this Chapter.
(c) Commencement of a proceeding under
				Article 3 of Chapter 150B of the General Statutes for a civil monetary penalty
				or reimbursement of investigation costs does not preclude commencement of a
				proceeding against the same respondent under Article 3A of Chapter 150B of the
				General Statutes for other sanctions.
Authority
				  G.S.
				  78A-47;
				  78A-49;
				  78C-28;
				  78C-30;
				  78C-90;
				  78C-91;
				  78D-21;
				  78D-22;
				  78D-27;
				  78D-31;
				  105-163.013;
				  150B-38(h);
				  150B-40;
Eff. April
				  1, 2009;
Pursuant to
				  G.S.
				  150B-21.3A, rule is necessary without
				  substantive public interest Eff. December 6,
				  2016.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0104 - SETTLEMENT

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The Division
				may negotiate settlements with a respondent or counsel for a
				respondent.
(b) The Division may
				negotiate and submit settlements for approval prior to the issuance of a Notice
				of Hearing or an Administrative Petition. Settlements shall be presented to the
				Administrator as soon as practicable before a scheduled hearing date. The
				Division shall prepare the final written settlement proposal in all
				cases.
(c) The Administrator shall
				consider a final written settlement proposal only if the final written
				settlement proposal:
(1) is signed by the
				respondent and counsel, if represented by counsel;
(2) includes the respondent's waiver of all
				further procedural and substantive rights, including hearings, issuance of
				notice of hearing, service, judicial review and collateral attacks or other
				proceedings contesting the terms of the settlement;
(3) contains the respondent's agreement that
				rejection of the final written settlement proposal shall not disqualify the
				Administrator from acting as the trier of fact or final agency decision maker;
				and
(4) is within the authority of
				the Administrator.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0105 - ARTICLE 3A CONTESTED CASE PROCEDURES

Current through Register Vol. 39, No. 2, July 15, 2024
(a) This
				Rule applies to proceedings under Article 3A of Chapter 150B of the General
				Statutes.
(b) The Administrator
				shall notify the respondents in a contested case proceeding under G.S. 150B,
				Article 3A, as to whether the hearing of the contested case will be:
(1) referred to the Office of Administrative
				Hearings;
(2) conducted by the
				Administrator; or
(3) conducted by
				a hearing officer appointed by the Administrator.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0106 - TEMPORARY ORDERS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) The Division
				may seek a temporary or summary order at any time as follows:
(1) If the Division seeks a temporary or
				summary order prior to the issuance of a notice of hearing, the Division shall
				file an
ex parte
Administrative Petition supported as required
				by this Rule.
(2) If the Division
				seeks a temporary or summary order during a contested case proceeding, it shall
				file and serve an appropriate pleading in that proceeding, supported as
				required by this Rule.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0107 - CONDUCT OF HEARING

Current through Register Vol. 39, No. 2, July 15, 2024
(a) Scope. This
				Rule applies to all hearings under G.S. 150B, Article 3A, conducted by the
				Administrator or a hearing officer designated by the Administrator. Hearings
				referred to the Office of Administrative Hearings ("OAH") are governed by the
				rules adopted by OAH. This Rule also applies to all other hearings which the
				Administrator is required to conduct and which are not by law required to be
				heard by OAH.
(b) Discovery. All
				discovery shall be conducted pursuant to
				G.S.
				150B-39.
(c) Continuances. A motion for the
				continuance of a scheduled hearing shall be:
(1) made in writing;
(2) filed with the Administrator at least 10
				business days prior to the scheduled hearing; and
(3) served upon the opposing party or
				counsel.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 06 - SECURITIES DIVISION › Subchapter C - INVESTIGATIONS, ENFORCEMENT AND HEARINGS › Section 06C .0108 - FINAL ORDER

Current through Register Vol. 39, No. 2, July 15, 2024
(a) Proceedings
				based on temporary orders - when a final order may issue. The Administrator may
				issue a final order when no hearing has been requested by a respondent within
				30 business days after receipt of a Temporary Order in any proceeding:
(1) initiated by serving a respondent with a
				temporary or summary order; and
(2)
				in which the statute under which the proceeding was commenced provides that the
				temporary or summary order shall become permanent if the respondent fails to
				request a hearing.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter A › Section .0100 - GENERAL PROVISIONS › Section 07A .0101 - REPEALED - LOCATION AND HOURS

Current through Register Vol. 39, No. 2, July 15, 2024
Authority
					 G.S.
					 143A-23;
Eff. February 1,
					 1976;
Amended Eff. August 1, 2000; January 1, 1995; September 1,
					 1986;
Repealed Eff. April 1,
					 2007.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter A › Section .0100 - GENERAL PROVISIONS › Section 07A .0102 - REPEALED - GENERAL PURPOSE

Current through Register Vol. 39, No. 2, July 15, 2024
Authority
					 G.S.
					 10A-4;
					 10A-6;
					 10A-9(f);
					 10A-13;
Eff. February
					 1, 1976;
Amended Eff. January 1, 1995;
Repealed Eff.
					 September 1, 2000.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter A › Section .0100 - GENERAL PROVISIONS › Section 07A .0103 - REPEALED - NOTARIES PUBLIC DEPUTY

Current through Register Vol. 39, No. 2, July 15, 2024
Authority
					 G.S.
					 10-1;
Eff. February 1,
					 1976;
Amended Eff. September 1, 1986;
Repealed Eff.
					 January 1, 1995.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter A › Section .0200 - APPOINTMENT OF NOTARIES PUBLIC › Section 07A .0201 - REPEALED - REQUIREMENTS FOR INITIAL APPOINTMENT

Current through Register Vol. 39, No. 2, July 15, 2024
Authority
					 G.S.
					 10-1;
Eff. February 1,
					 1976;
Amended Eff. September 1, 1986; January 1, 1983;
Repealed Eff. January 1, 1995.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter A › Section .0200 - APPOINTMENT OF NOTARIES PUBLIC › Section 07A .0202 - REPEALED - INVESTIGATIONS

Current through Register Vol. 39, No. 2, July 15, 2024
Authority
					 G.S.
					 10A-4(c);
					 10A-13(d);
Eff. February 1, 1976;
Amended Eff. January 1, 1995;
Repealed Eff. April 1, 2007.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter A › Section .0200 - APPOINTMENT OF NOTARIES PUBLIC › Section 07A .0203 - REPEALED - DISQUALIFICATION

Current through Register Vol. 39, No. 2, July 15, 2024
Authority N. C. Const.
					 Art. VI, Sec. 8;
Eff. February 1, 1976;
Repealed Eff.
					 September 1, 1986.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter B - GENERAL REQUIREMENTS › Section .0100 - GENERAL PROVISIONS › Section 07B .0101 - SCOPE

Current through Register Vol. 39, No. 2, July 15, 2024
The rules in this Subchapter implement Chapter 10B of the
					 General Statutes. The rules govern:
(1) the qualification, commissioning,
				  notarial acts, conduct, and discipline of notaries public as public officers of
				  the State;
(2) the qualification,
				  certification, and discipline of certified notary instructors; and
(3) the qualification, approval or licensing,
				  conduct, and discipline of technology providers.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter B - GENERAL REQUIREMENTS › Section .0100 - GENERAL PROVISIONS › Section 07B .0102 - DEFINITIONS

Current through Register Vol. 39, No. 2, July 15, 2024
For purposes of this Chapter:
(1) "Appoint" or "Appointment" means the
				  naming of an individual to the office of notary public after determination that
				  the individual has complied with Chapter 10B of the General Statutes and
				  Subchapter 07C of this Chapter. For the purposes of the rules in this Chapter,
				  the terms "appoint," "reappoint," "appointment," "reappointment," "commission,"
				  "recommission," "commissioning," and "recommissioning" all refer to the term
				  "commission" as defined in
				  G.S.
				  10B-3(4) or to the process
				  of acquiring or maintaining the commission.
(2) "Appointee" means an individual who has
				  been appointed or reappointed to the office of notary public but has not yet
				  taken the oath of office to be commissioned.
(3) "Authorization" means a notary
				  commission, an electronic notary registration, an instructor certification, an
				  approval, or a license issued by the Department pursuant to Chapter 10B of the
				  General Statutes.
(4) "Authorize"
				  means the Department's action to issue an authorization.
(5) "Commission date" means the beginning
				  date of commissioning or recommissioning as entered on a commission
				  certificate.
(6) "Court" means a
				  tribunal of a locality, state, the Armed Forces of the United States, a
				  federally recognized tribe, or any nation.
(7) "Crime" means:
(a) an offense designated by law as a felony
				  or misdemeanor;
(b) an attempt to
				  commit an offense;
(c) an accessory
				  to commission of an offense;
(d)
				  aiding and abetting of an offense;
(e) conspiracy to commit an
				  offense;
(f) solicitation to commit
				  an offense; or
(g) threat to commit
				  an offense.
An infraction as defined in
					 G.S.
					 14-3.1 is not a
					 crime.
North Carolina Administrative Code › Title 18 - SECRETARY OF STATE › Chapter 07 - NOTARY PUBLIC DIVISION › Subchapter B - GENERAL REQUIREMENTS › Section .0100 - GENERAL PROVISIONS › Section 07B .0103 - OPERATING HOURS AND GENERAL CONTACT INFORMATION

Current through Register Vol. 39, No. 2, July 15, 2024
(a) Hours. Departmental hours for the public
				  are 8:00 a.m. to 5:00 p.m., Monday through Friday, with the exception of State
				  holidays.
(b) The Department's
				  website is:
www.sosnc.gov
.
(c) Email address: The Department may be
				  contacted by email for notary-related issues at notary@sosnc.gov. Unless
				  specifically permitted by a rule in this Chapter, email shall not be used for
				  submitting applications.
(d)
				  Telephone number: The telephone number for the Department's customer service
				  unit is (919) 814-5400.
(e)
				  Physical address. The Department is located at 2 South Salisbury Street,
				  Raleigh, NC 27601.
(f) Mailing
				  address. The Department's mailing address is P.O. Box 29626, Raleigh, NC
				  27626-0626.