| Registrations/Exemptions/Notice Filings | Forms or Information Found At: |
|---|---|
| Securities Dealer – Form BD Securities Salesperson – Form U-4 Investment Adviser – Form ADV Part I & 2 Investment Adviser Representative – Form U-4 |
To register, use the CRD and the IARD registration systems. |
| Registered public offering of securities Securities offering – Forms U-1, U-2 and U-2A (for corporate issuer) |
See N.C.G.S. §§ 78A-26,
-27 &
-28 North American Securities Administrators Association (NASAA) |
| Small Company Offering Registration (SCOR) – Forms U-7, U-1, U-2 and U-2A (for corporate issuer) |
See N.C.G.S. § 78A-27 See the NASAA website. |
| Notice filing for a mutual fund – Form NF |
See N.C.G.S. § 78A-31(a) See the NASAA website. |
|
Rule 506 transaction notice filing – Form D State filing requirements for Issuers Relying on the Securities Act of 1933, Regulation D, Rule 506 |
See requirements at 18 NCAC 06A.1211 See the Securities and Exchange Commission (SEC) website. Electronic filing available at US Electronic Filing Depository |
| Limited offering subject to Rule .1205(b) |
See requirements and schedule at 18 NCAC 06A.1205(b) Form U-2 (and Form U-2A, for corporate issuer) -- NASAA website |
| Exempt not-for-profit offering -- Schedule required by Rule.1209(d), plus Form U-2 (and Form U-2A, for corporate issuer) |
See schedule at 18 NCAC 06A.1209(d) Form U-2 (and Form U-2A, for corporate issuer) – NASAA website |