18 N.C. Admin. Code 6A.2116

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

Section 06A .2116 - RECORDKEEPING REQUIREMENTS

(a) An issuer of an LPO shall comply with the recordkeeping requirements in Rules .2060 and .2062 of this Subchapter.

(b) An issuer of an LPO shall make and maintain copies of all general solicitation materials and advertising for six years after the initial filing of the Form NCE-LPO, regardless of the medium in which the materials were used, published, or distributed.

(c) At the time of creation and dissemination, an issuer shall preserve all communications, social media posts, and other electronic distributions relating to the LPO.

18 N.C. Admin. Code 06A .2116

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.