North Carolina Administrative Code

18 NCAC 06A .2113 GENERAL SOLICITATION AND ADVERTISING FOR WHICH FILING IS NOT REQUIRED General solicitation or advertising that complies with Rules .2043 and .2044 of this Subchapter that is conducted with or without a website may be used with regard to an LPO without filing it …

18 NCAC 06A .2114 UNACCEPTABLE GENERAL SOLICITATION AND ADVERTISING An issuer conducting an LPO shall not use, publish, or distribute any general solicitation or advertising that would violate Rules .1308(d) of this Subchapter or 18 NCAC 06B .0201. History Note: Authority G.S. 78…

18 NCAC 06A .2115 ADMINISTRATOR ADVISORY REVIEW OF GENERAL SOLICITATION AND ADVERTISING MATERIALS (a) The Administrator may object to general solicitation or advertising materials relating to an LPO. The Administrator may consider the factors in 18 NCAC 06A .1308(d) when consider…

18 NCAC 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 …

18 NCAC 06A .2117 PROHIBITED LPO ISSUER BUSINESSES In addition to the types of companies prohibited by Rule .2004(h) of this Subchapter, an LPO shall not be conducted by an issuer that: (1) is issuing fractional undivided interests in oil or gas rights, or a similar interest in o…

18 NCAC 06A .2118 ADMINISTRATOR MAY Consider CERTAIN OTHER business structures (a) Issuers with complex business structures not listed in Rule .2113 of this Subchapter that plan to conduct an LPO shall request review by the Administrator. NOTE: For example, an issuer seeking to c…

18 NCAC 06A .2119 Review OF THE ISSUER BUSINESS STrUCTURE (a) The Administrator may consider the following to determine whether the LPO's proposed business is suitable for an LPO: (1) the complexity of the business, the LPO, or the issuer; (2) whether the simplified disclosures r…

18 NCAC 06A .2120 SUNSET PROVISION (a) The Administrator shall not accept any new Form NCE-LPO or other filing related to a new LPO after April 1, 2025. (b) The rules in this Section shall expire on April 1, 2026. History Note: Authority G.S. 78A-17.1(a)(5); 78A-17.1(f); 78A-49(a…

SUBCHAPTER 06B – GENERAL Section .0100 - Purpose 18 NCAC 06B .0101 SCOPE (a) The rules in this Chapter execute the authority granted to the Secretary of State pursuant to the following Chapters of the North Carolina General Statutes ("the Secretary's authority"): (1) Chapter 78A,…

18 NCAC 06B .0102 ADMINISTRATION (a) "Administrator" as used in this Chapter means the Secretary of State. (b) The Deputy Securities Administrator shall carry out the duties assigned by statute and rule to the Administrator in G.S. Chapters 78A, 78C, 78D, and Article 4, Part 5, o…

SECTION .0200 – CONSOLIDATED RULES 18 NCAC 06B .0201 SENIOR DESIGNATION AS DISHONEST OR UNETHICAL PRACTICE (a) This Rule applies to natural persons registered with the Division as securities dealers, securities salesmen, investment advisers or investment adviser representatives. …

SUBCHAPTER 06C – INVESTIGATIONS, ENFORCEMENT AND HEARINGS 18 NCAC 06C .0101 LETTER OF INQUIRY (a) The Division may issue a Letter of Inquiry to anyone engaging in activities which may subject them to the jurisdiction of the Administrator. The purpose of a Letter of Inquiry is to …

18 NCAC 06C .0102 INVESTIGATIVE SUBPOENAS (a) When the Administrator issues subpoenas for testimony, written statements or documents during the course of an investigation, the recipient of a subpoena may object to the subpoena. Objections to compliance with a subpoena, including …

18 NCAC 06C .0103 ADMINISTRATIVE HEARINGS (a) The Division shall bring proceedings pursuant to the statutes and rules it enforces in the name of the Division against one or more respondents. (b) The Division shall commence proceedings before the Administrator in which a sanction …

18 NCAC 06C .0104 SETTLEMENT (a) The Division may negotiate settlements with a respondent or counsel for a respondent. (b) The Division may negotiate and submit settlements for approval prior to the issuance of a Notice of Hearing or an Administrative Petition. Settlements shall …

18 NCAC 06C .0105 ARTICLE 3A CONTESTED CASE PROCEDURES (a) This Rule applies to proceedings under Article 3A of Chapter 150B of the General Statutes. (b) The Administrator shall notify the respondents in a contested case proceeding under G.S. 150B, Article 3A, as to whether the h…

18 NCAC 06C .0106 TEMPORARY ORDERS (a) The Division may seek a temporary or summary order at any time as follows: (1) If the Division seeks a temporary or summary order prior to the issuance of a notice of hearing, the Division shall file an ex parte Administrative Petition suppo…

18 NCAC 06C .0107 CONDUCT OF HEARING (a) Scope. This Rule applies to all hearings under G.S. 150B, Article 3A, conducted by the Administrator or a hearing officer designated by the Administrator. Hearings referred to the Office of Administrative Hearings ("OAH") are governed by t…

18 NCAC 06C .0108 FINAL ORDER (a) Proceedings based on temporary orders – when a final order may issue. The Administrator may issue a final order when no hearing has been requested by a respondent within 30 business days after receipt of a Temporary Order in any proceeding: (1) i…

CHAPTER 07 - NOTARY PUBLIC DIVISION SECTION .0100 - GENERAL PROVISIONS 18 NCAC 07A .0101 LOCATION AND HOURS History Note: Authority G.S. 143A-23; Eff. February 1, 1976; Amended Eff. August 1, 2000; January 1, 1995; September 1, 1986; Repealed Eff. April 1, 2007.

18 NCAC 07 .0102 GENERAL PURPOSE History Note: Authority G.S. 10A-4; 10A-6; 10A-9(f); 10A-13; Eff. February 1, 1976; Amended Eff. January 1, 1995; Repealed Eff. September 1, 2000.

18 NCAC 07 .0103 NOTARIES PUBLIC DEPUTY History Note: Authority G.S. 10-1; Eff. February 1, 1976; Amended Eff. September 1, 1986; Repealed Eff. January 1, 1995.

SECTION .0200 - APPOINTMENT OF NOTARIES PUBLIC 18 NCAC 07 .0201 REQUIREMENTS FOR INITIAL APPOINTMENT History Note: Authority G.S. 10-1; Eff. February 1, 1976; Amended Eff. September 1, 1986; January 1, 1983; Repealed Eff. January 1, 1995.

18 NCAC 07A .0202 INVESTIGATIONS History Note: Authority G.S. 10A-4(c); 10A-13(d); Eff. February 1, 1976; Amended Eff. January 1, 1995; Repealed Eff. April 1, 2007.

18 NCAC 07 .0203 DISQUALIFICATION History Note: Authority N. C. Const. Art. VI, Sec. 8; Eff. February 1, 1976; Repealed Eff. September 1, 1986.

SUBCHAPTER 07B – GENERAL REQUIREMENTS SECTION .0100 – GENERAL PROVISIONS 18 NCAC 07B .0101 SCOPE The rules in this Subchapter implement Chapter 10B of the General Statutes. The rules govern: (1) the qualification, commissioning, notarial acts, conduct, and discipline of notaries …

18 NCAC 07B .0102 DEFINITIONS For purposes of this Chapter: (1) "Appoint" or "Appointment" means the naming of an individual to the office of notary public after determination that the individual has complied with Chapter 10B of the General Statutes and Subchapter 07C of this Cha…

18 NCAC 07B .0103 Operating Hours and General Contact Information (a) Hours. Departmental hours for the public are 8:00 a.m. to 5:00 p.m., Monday through Friday, with the exception of State holidays. (b) The Department's website is: www.sosnc.gov. (c) Email address: The Departmen…

18 NCAC 07B .0104 ada accommodatIon An applicant to become a notary public, electronic notary public, or certified notary instructor who needs accommodation pursuant to the Americans with Disabilities Act shall: (1) with regard to a notary course and exam accommodation request, d…

18 NCAC 07B .0105 OBTAINING REQUESTED INFORMATION A person responding to a departmental information request shall: (1) use reasonable efforts to obtain information requested by the Department; (2) deliver to the Department all requested information that is available to the person…

18 NCAC 07B .0106 WAIVER The Department may waive any rule in this Chapter that is not statutorily required on request of a filer or on its own initiative based on the factors set forth in Rule .0108 of this Section. History Note: Authority G.S. 10B-4; Eff. April 1, 2007; Pursuan…

18 NCAC 07B .0107 CONTENTS OF WAIVER REQUEST A request for waiver of a rule in this Chapter shall be in writing and shall include: (1) the requestor's: (a) name; (b) mailing address; (c) email address; and (d) preferred telephone number for contact; (2) for a request filed on beh…

18 NCAC 07B .0108 FACTORS USED IN CONSIDERING WAIVER REQUESTS Factors to be considered when the Department considers a waiver request are: (1) information about the requestor and the request, including the requestor's: (a) explanation of the reasons for the request; (b) control o…

18 NCAC 07B .0109 Computation of time periods The Department shall calculate time periods based on G.S. 1A-1, Rule 6, unless otherwise noted in the rules in this Chapter. History Note: Authority G.S. 10B-4; Eff. July 1, 2024.

18 NCAC 07B .0110 REQUEST TO DEPARTMENT FOR CONFIDENTIAL INFORMATION A request to the Department for information about a notary public or a technology provider that is confidential pursuant to law, rule, or regulation or that is personally identifiable information shall: (1) be i…

18 NCAC 07B .0111 PROPERTY OF NOTARY PUBLIC A notary public's physical notary seal, electronic notary seal and signature, journals, communication technology recordings, session records, notarial records and any information in them are the personal property of the notary. History …

SECTION .0200 – FEES PAID TO THE DEPARTMENT 18 NCAC 07B .0201 U.S. CURRENCY Filers shall tender fees in U.S. dollars and cents. History Note: Authority G.S. 10B-4; Eff. April 1, 2007; Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December…

18 NCAC 07B .0202 ONLINE FEE PAYMENT Filers who tender fees online shall pay by: (1) an automated clearinghouse debit account (ACH); (2) a credit card; or (3) a debit card. History Note: Authority G.S. 10B-4; Eff. April 1, 2007; Pursuant to G.S. 150B-21.3A, rule is necessary with…

18 NCAC 07B .0203 FEES PAID IN PERSON Filers who tender fees in person shall pay with: (1) one of the following types of checks, made payable to the N.C. Department of the Secretary of State: (a) a personal or business check; or (b) a cashier's check; (2) cash; (3) money order; o…

18 NCAC 07B .0204 FEES PAID BY USPS OR BY DELIVERY SERVICE Filers who tender fees through delivery by United States Postal Service (USPS) or by a designated delivery service authorized pursuant to 26 U.S.C. 7502(f)(2) shall pay using one of the following methods, made payable to …

18 NCAC 07B .0205 Fee FOR DISHONORED PAYMENT Pursuant to G.S. 25-3-506, the Department may charge a thirty-five dollar ($35.00) processing fee to a filer if a tendered payment is dishonored by a bank or financial institution. History Note: Authority G.S. 10B-4; 25-3-506; Eff. Apr…

18 NCAC 07B .0206 FILING NOT PROCESSED IF PAYMENT DISHONORED The Department shall not continue to process a filing for which processing has not been completed if the Department receives notice that a payment has been dishonored. History Note: Authority G.S. 10B-4; Eff. July 1, 20…

18 NCAC 07B .0207 department actions upon dishonored payment If the Department has received notice that a tendered payment has been dishonored, regardless of whether the Department has completed processing the filing: (1) the filing shall be deemed incomplete; (2) the filing shal…

18 NCAC 07B .0208 NOTICE TO FILER OF DISHONORED PAYMENT Upon receipt of notice of dishonor of a tendered payment, the Department shall notify a filer orally or in writing that: (1) the payment the filer tendered has been dishonored; and (2) the filing shall: (a) not be processed …

SECTION .0300 – FILING, SIGNATURES ON FILINGS, AND RESPONSES TO REQUESTS FOR INFORMATION 18 NCAC 07B .0301 FORM USE REQUIRED In submitting a filing, a filer shall: (1) use a form in Section .0400 of this Subchapter; or (2) if there is not a form for the filer's purpose in Section…

18 NCAC 07B .0302 MODE OF FILING Filers shall submit filings electronically by means established by the Department unless paper filing is permitted pursuant to: (1) Chapter 10B of the General Statutes; or (2) Rule .0303 of this Section. History Note: Authority G.S. 10B-4; 10B-6; …

18 NCAC 07B .0303 PAPER FILINGS PERMITTED Paper filings shall be permitted: (1) where the Department has not established electronic means for submittal of a filing; or (2) in the case of a traditional notary public: (a) initial applications; (b) recommissioning applications; and …

18 NCAC 07B .0304 INAPPLICABLE QUESTIONS If a question or item is not applicable to a filer, the filer shall not leave the question or item blank but shall respond "not applicable" or "N/A." History Note: Authority G.S. 10B-4; 10B-5(e); 10B-6; 10B-106; 10B-125; 10B-134.19; 10B-13…

18 NCAC 07B .0305 RESPONSE TO QUESTIONS AND REQUESTS FOR INFORMATION A person responding to a departmental information request shall respond to departmental requests for information within the time and in the manner specified based upon the Department's consideration of: (1) the …

18 NCAC 07B .0306 ATTACHMENTS If a form does not include enough space to provide a complete and accurate response to a question or request for information from the Department, a filer shall include an attachment with the form. History Note: Authority G.S. 10B-4; 10B-6; 10B-106; 1…