18 N.C. Admin. Code 6A.2112

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

Section 06A .2112 - GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS REQUIRED

(a) No later than 10 business days before use, publication, or distribution, the issuer shall file with the Administrator copies of any advertisement, pamphlet, circular, form letter, pitch book, sales literature, sales script, or other advertising communication addressed or intended for distribution to prospective investors relating to the LPO.

(b) No later than 10 business days before any public meeting or gathering promoted through general solicitation or advertising, for the purpose of discussing or presenting information regarding an LPO, the issuer shall provide notice to the Administrator. The notice shall be provided by either calling the Division or emailing the Division at secdiv@sosnc.gov.

(c) Media coverage of an LPO that has been prepared, authorized, approved, paid for, or provided other consideration for, by or on behalf of the issuer shall be deemed general solicitation or advertising and shall be filed in advance with the Administrator pursuant to Rule. 2111 of this Section.

18 N.C. Admin. Code 06A .2112

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 to expire on April 1, 2021.

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 to expire on 4/1/2021.