Chapter 78C - Investment Advisers.

The General Statutes include changes through SL 2023-151.

General Statutes published on this website are not official. Please read the caveats for more information.

Please select a chapter
Please enter search text
Please select a results type
* (Example: 17D-4)
Please enter a citation number
Chapter 78C
 Chapter HTML  Chapter PDF
Article 1 - Title and Definitions.
G.S. 78C-1
§ 78C-1. Title.
G.S. 78C-2
§ 78C-2. Definitions.
G.S. 78C-3 through 78C-7
§§ 78C-3 through 78C-7: Reserved for future codification purposes.
Article 2 - Fraudulent and Prohibited Practices.
G.S. 78C-8
§ 78C-8. Advisory activities.
G.S. 78C-9
§ 78C-9. Misleading filings.
G.S. 78C-10
§ 78C-10. Unlawful representations concerning registration or exemption.
G.S. 78C-11 through 78C-15
§§ 78C-11 through 78C-15: Reserved for future codification purposes.
Article 3 - Registration and Notice Filing Procedures of Investment Advisers and Investment Adviser Representatives.
G.S. 78C-16
§ 78C-16. Registration and notice filing requirement.
G.S. 78C-17
§ 78C-17. Registration and notice filing procedures.
G.S. 78C-18
§ 78C-18. Post-registration provisions.
G.S. 78C-19
§ 78C-19. Denial, revocation, suspension, bar, censure, cancellation, and withdrawal of registration.
G.S. 78C-20
§ 78C-20. Methods of registration.
G.S. 78C-21 through 78C-25
§§ 78C-21 through 78C-25: Reserved for future codification purposes.
Article 4 - Administration and Review.
G.S. 78C-26
§ 78C-26. Administration of Chapter.
G.S. 78C-27
§ 78C-27. Investigations and subpoenas.
G.S. 78C-28
§ 78C-28. Injunctions; cease and desist orders; civil penalties.
G.S. 78C-29
§ 78C-29. Judicial review of orders.
G.S. 78C-30
§ 78C-30. Rules, forms, orders, and hearings.
G.S. 78C-31
§ 78C-31. Administrative files and opinions.
G.S. 78C-32 through 78C-37
§§ 78C-32 through 78C-37: Reserved for future codification purposes.
Article 5 - Civil Liabilities and Criminal Penalties.
G.S. 78C-38
§ 78C-38. Civil liabilities.
G.S. 78C-39
§ 78C-39. Criminal penalties.
G.S. 78C-40
§ 78C-40. Burden of proof.
G.S. 78C-41 through 78C-45
§§ 78C-41 through 78C-45: Reserved for future codification purposes.
Article 6 - Miscellaneous Provisions.
G.S. 78C-46
§ 78C-46. Scope of the Chapter; service of process.
G.S. 78C-47
§ 78C-47. Statutory policy.
G.S. 78C-48
§ 78C-48. Severability of provisions.
G.S. 78C-49 through 78C-59
§§ 78C-49 through 78C-59. Reserved for future codification purposes.
Article 7 - Sports Agents.
G.S. 78C-60
§§ 78C-60 through 78C-62: Expired.
G.S. 78C-63 through 78C-70
§§ 78C-63 through 78C-70. Reserved for future codification purposes.
Article 8 - Regulation of Athlete Agents.
G.S. 78C-71
§§ 78C-71 through 78C-81: Repealed by Session Laws 2003-375, s. 1, effective August 1, 2003.
G.S. 78C-80
§§ 78C-71 through 78C-81: Repealed by Session Laws 2003-375, s. 1, effective August 1, 2003.
G.S. 78C-81
§§ 78C-71 through 78C-81: Repealed by Session Laws 2003-375, s. 1, effective August 1, 2003.
G.S. 78C-82 through 78C-84
§§ 78C-82 through 78C-84. Reserved for future codification purposes.
Article 9 - Uniform Athlete Agents Act.
G.S. 78C-85
§ 78C-85. Title.
G.S. 78C-86
§ 78C-86. Definitions.
G.S. 78C-87
§ 78C-87. Service of process; subpoenas.
G.S. 78C-88
§ 78C-88. Athlete agents; registration required; exceptions; void contracts.
G.S. 78C-89
§ 78C-89. Registration as athlete agent; form; requirements.
G.S. 78C-90
§ 78C-90. Certificate of registration; issuance or denial; renewal.
G.S. 78C-91
§ 78C-91. Suspension; revocation; refusal to renew registration.
G.S. 78C-92
§ 78C-92. Temporary registration.
G.S. 78C-93
§ 78C-93. Registration; renewal of fees.
G.S. 78C-94
§ 78C-94. Required form of contract.
G.S. 78C-95
§ 78C-95. Notice to educational institution.
G.S. 78C-96
§ 78C-96. Student-athlete's right to cancel.
G.S. 78C-97
§ 78C-97. Required records; waiver of attorney-client privilege.
G.S. 78C-98
§ 78C-98. Prohibited conduct.
G.S. 78C-99
§ 78C-99. Criminal penalties.
G.S. 78C-100
§ 78C-100. Civil remedies.
G.S. 78C-101
§ 78C-101. Administrative penalty.
G.S. 78C-102
§ 78C-102. Uniformity of application and construction.
G.S. 78C-103
§ 78C-103. Electronic Signatures in Global and National Commerce Act.
G.S. 78C-104
§ 78C-104. Severability.
G.S. 78C-105
§ 78C-105. Rules.