18 N.C. Admin. Code 6A.2049

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

Section 06A .2049 - ADDITIONAL COMMUNICATION CHANNEL REQUIREMENTS

An issuer and persons acting on behalf of the issuer may communicate with prospective investors and investors about the terms of the securities offering if:

(1) effected through communication channels provided by the issuer, funding portal, or registered dealer on their platforms;

(2) the issuer identifies itself as the issuer in all communications; and

(3) persons acting on behalf of the issuer identify their names, titles, and affiliation with the issuer in all communications.

18 N.C. Admin. Code 06A .2049

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.

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. 4/1/2017.