IA- North Carolina Investment Adviser Surety Bond Form

The North Carolina Investment Adviser Surety Bond Form is a representation that the investment adviser and the bond carrier, which must be authorized to transact insurance in the state of North Carolina, as Surety, are held and firmly bound into the Secretary of State of North Carolina, as Obligee, for the use and benefit of any person who successfully prosecuted a cause of action arising under Chapter 78C of the North Carolina General Statutes. A surety bond is a three party bond contract in which a third party (the "surety") backs up a principal by agreeing to honor the principal's obligation(s) towards the obligee of a bond in the event of the latter's default.  Members also downloaded North Carolina Investment Adviser Registration Requirements Guide or North Carolina Investment Adviser Representative Registration Requirements Guide. 

Version/Update: V.U/Verif. October 30, 2018

Total Page Count: 1

Source/Author(s): North Carolina Securities Division