(a) Every registereddealer shall make and keep such accounts, correspondence, memoranda, papers,books, and other records as the Administrator by rule prescribes, subject tothe limitations of section 15 of the Securities Exchange Act of 1934 (15 U.S.C.§ 78o).
(b) Every registereddealer shall file such financial reports as the Administrator by ruleprescribes, subject to the limitations of section 15 of the Securities ExchangeAct of 1934 (15 U.S.C. § 78o).
(c) If the informationcontained in any document filed with the Administrator is or becomes inaccurateor incomplete in any material respect, the registrant shall promptly file acorrecting amendment unless notification of the correction has been given underG.S. 78A‑36(b).
(d) All the recordsreferred to in subsection (a) of this section are subject at any time or fromtime to time to such reasonable periodic, special, or other examinations byrepresentatives of the Administrator, within or without this State, as theAdministrator deems necessary or appropriate in the public interest or for theprotection of investors. For the purpose of avoiding unnecessary duplication ofexaminations, the Administrator, insofar as he deems it practicable inadministering this subsection, may cooperate with the securities administratorsof other states, the Securities and Exchange Commission, and any nationalsecurities exchange or national securities association registered under theSecurities Exchange Act of 1934. (1925, c. 190, ss. 14, 15;1927, c. 149, ss. 14, 15; 1973, c. 1380; 1997‑419, s. 10.)
(a) Every registereddealer shall make and keep such accounts, correspondence, memoranda, papers,books, and other records as the Administrator by rule prescribes, subject tothe limitations of section 15 of the Securities Exchange Act of 1934 (15 U.S.C.§ 78o).
(b) Every registereddealer shall file such financial reports as the Administrator by ruleprescribes, subject to the limitations of section 15 of the Securities ExchangeAct of 1934 (15 U.S.C. § 78o).
(c) If the informationcontained in any document filed with the Administrator is or becomes inaccurateor incomplete in any material respect, the registrant shall promptly file acorrecting amendment unless notification of the correction has been given underG.S. 78A‑36(b).
(d) All the recordsreferred to in subsection (a) of this section are subject at any time or fromtime to time to such reasonable periodic, special, or other examinations byrepresentatives of the Administrator, within or without this State, as theAdministrator deems necessary or appropriate in the public interest or for theprotection of investors. For the purpose of avoiding unnecessary duplication ofexaminations, the Administrator, insofar as he deems it practicable inadministering this subsection, may cooperate with the securities administratorsof other states, the Securities and Exchange Commission, and any nationalsecurities exchange or national securities association registered under theSecurities Exchange Act of 1934. (1925, c. 190, ss. 14, 15;1927, c. 149, ss. 14, 15; 1973, c. 1380; 1997‑419, s. 10.)
(a) Every registereddealer shall make and keep such accounts, correspondence, memoranda, papers,books, and other records as the Administrator by rule prescribes, subject tothe limitations of section 15 of the Securities Exchange Act of 1934 (15 U.S.C.§ 78o).
(b) Every registereddealer shall file such financial reports as the Administrator by ruleprescribes, subject to the limitations of section 15 of the Securities ExchangeAct of 1934 (15 U.S.C. § 78o).
(c) If the informationcontained in any document filed with the Administrator is or becomes inaccurateor incomplete in any material respect, the registrant shall promptly file acorrecting amendment unless notification of the correction has been given underG.S. 78A‑36(b).
(d) All the recordsreferred to in subsection (a) of this section are subject at any time or fromtime to time to such reasonable periodic, special, or other examinations byrepresentatives of the Administrator, within or without this State, as theAdministrator deems necessary or appropriate in the public interest or for theprotection of investors. For the purpose of avoiding unnecessary duplication ofexaminations, the Administrator, insofar as he deems it practicable inadministering this subsection, may cooperate with the securities administratorsof other states, the Securities and Exchange Commission, and any nationalsecurities exchange or national securities association registered under theSecurities Exchange Act of 1934. (1925, c. 190, ss. 14, 15;1927, c. 149, ss. 14, 15; 1973, c. 1380; 1997‑419, s. 10.)
