North Carolina General Statutes 78C-20. Methods of registration
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Terms Used In North Carolina General Statutes 78C-20
- Investment adviser: means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. See North Carolina General Statutes 78C-2
(a) All applications for initial and renewal registrations or notice filings required under N.C. Gen. Stat. § 78C-17 shall be filed with the Investment Adviser Registration Depository (IARD) operated by the National Association of Securities Dealers.
(b) Repealed by Session Laws 2001-273, s. 4, effective October 1, 2001.
(c) Nothing in this section shall be construed to prevent the exercise of the authority of the Administrator as provided in N.C. Gen. Stat. § 78C-19 (1987 (Reg. Sess., 1988), c. 1098, s. 1; 2001-273, s. 4; 2002-159, s. 16.)