18 N.C. Admin. Code 6A.1304

Current through Register Vol. 39, No. 9, November 1, 2024

Section 06A .1304 - SECURITIES REGISTRATION AND FILING FEES

(a) All fees are payable to the Office of the Secretary of State and shall be submitted with the application for original, renewal, or additional registration. The filing fee shall be retained by the administrator in all cases.

(b) The aggregate offering amount of an original or amended registration may be increased prior to or after the effectiveness of the registration by providing the administrator the following:

(1) An additional registration filing fee of fifty dollars ($50.00) if such filing occurs after the effective date of the offering; and

(2) An amendment to the Uniform Application to Register Securities (Form U-1).

Additional registrations shall be effective when the administrator so orders.

18 N.C. Admin. Code 06A .1304

Authority G.S. 78A-28(b); 78A-28(j); 78A-31(a); 78A-49(a);
Eff. April 1, 1981;
Amended Eff. September 1, 1990; October 1, 1988; January 1, 1984; July 1, 1982;
Temporary Amendment Eff. October 1, 1997;
Amended Eff. August 1, 1998;
Temporary Amendment Eff. January 1, 1999;
Codifier determined that agency findings did not meet criteria for temporary rule;
Temporary Amendment Eff. September 29, 1999;
Amended Eff. August 1, 2000;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 6, 2016.