NC Register Volume 16 Issue 15 - Office of Administrative Hearings

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TEMPORARY RULES(III) requires that thesolicitor, at the timeof any solicitationactivities for whichcompensation ispaid or to be paidby the investmentadviser, provide theclient with a currentcopy of theinvestment adviser'swritten disclosurestatement requiredby Rule .1707 ofthis Section("InvestmentAdviser BrochureRule") and aseparate writtendisclosuredocument describedin Paragraph (b) ofthis Rule;(ii) The investment adviserreceives from the client,prior to, or at the time of,entering into any writteninvestment advisory contractwith such client, a signedand dated acknowledgmentof receipt of the investmentadviser's written disclosurestatement and the solicitor'swritten disclosure document.The investment adviser shallretain a copy of each suchacknowledgment andsolicitor disclosuredocument as part of therecords required to be keptunder Subparagraph (a)(15)of Rule .1706 of thisSection; and(iii) The investment advisermakes a bona fide effort toascertain whether thesolicitor has complied withthe agreement, and has areasonable basis forbelieving that the solicitorhas so complied.(b) The separate written disclosure document required to befurnished by the solicitor to the client pursuant to this Sectionshall contain the following information:(1) The name of the solicitor;(2) The name of the investment adviser;(3) The nature of the relationship, including anyaffiliation, between the solicitor and theinvestment adviser;16:15 NORTH CAROLINA REGISTER February 1, 20021737(4) A statement that the solicitor will becompensated for his solicitation services bythe investment adviser;(5) The terms of such compensation arrangement,including a description of the compensationpaid or to be paid to the solicitor; and(6) The amount, if any, for the cost of obtaininghis account the client will be charged inaddition to the advisory fee, and thedifferential, if any, among clients with respectto the amount or level of advisory fees chargedby the investment adviser, if such differentialis attributable to the existence of anyarrangement pursuant to which the investmentadviser has agreed to compensate the solicitorfor soliciting clients for, or referring clients to,the investment adviser.(c) The investment adviser shall retain a copy of each writtenagreement required by this Rule as part of the records required tobe kept under Subparagraph (a)(10) of Rule .1706 of thisSection.(d) Nothing in this Rule shall be deemed to relieve any personof any fiduciary or other obligation to which such person may besubject under any law.(e) For purposes of this Rule:(1) "Solicitor" means any person who, directly orindirectly, solicits any client for, or refers anyclient to, an investment adviser.(2) "Client" includes any prospective client.(3) "Impersonal advisory services" meansinvestment advisory services provided solelyby means of:(A) written materials or oral statementswhich do not purport to meet theobjectives or needs of the specificclient;(B) statistical information containing noexpressions of opinions as to theinvestment merits of particularsecurities; or(C) any combination of the foregoingservices.History Note: Authority G.S. 78C-16(b)(2);Temporary Adoption Eff. January 14, 2002.TITLE 19A – DEPARTMENT OF TRANSPORTATIONEditor's Note: This publication will serve as Notice ofTemporary Rules and as Notice of Text for permanentrulemaking.Rule-making Agency: NC Department of Transportation –Division of HighwaysRule Citation: 19A NCAC 02D .0601, .0607Effective Date for Temporary Rule: January 11, 2002Findings Reviewed and Approved by: Beecher R. Gray
Authority for the rulemaking: G.S. 20-119; 136-18(5)Reason for Proposed Action for Temporary Rule: Theproposed changes to these Rules are necessary as a result ofrecent legislative action which clarifies the difference in unitsthat qualify for permits under housemoving laws (found in G.S.20-356) and other oversize vehicle laws (G.S. 20-119). Theamended rules will eliminate the current height restrictions for16' wide mobile/modular homes. Currently, there are no heightrestrictions that exist for other types of commodities. Theamended rules will allow the DOT Central Permit Office toreview and approve routes for overheight 16' mobile/modularhomes to provide safe and orderly movement on North Carolinahighways.Public Hearing:Date: February 18, 2002Time: 2:00 p.m.Location: Room 150, Highway Building, 1 South WilmingtonStreet, Raleigh, NCProposed Effective Date for Permanent Rule: August 1, 2002Reason for Proposed Action: The proposed changes to theserules are necessary as a result of recent legislative action whichclarifies the difference in units that qualify for permits underhousemoving laws (found in N.C.G.S. 20-356) and otheroversize vehicle laws (G.S. 20-119). The amended rules willeliminate the current height restrictions for 16' widemobile/modular homes. Currently, there are no heightrestrictions that exist for other types of commodities. Theamended rules will allow the DOT Central Permit Office toreview and approve routes for overheight 16' mobile/modularhomes to provide safe and orderly movement on North Carolinahighways.Comment Procedures: Any interested person may submitwritten comments on the proposed rule changes by mailing thecomments to Emily Lee, N.C. DOT, 1501 Mail Service Center,Raleigh, NC 27699-1501 by March 4, 2002.Fiscal ImpactStateLocalSubstantive (>$5,000,000)NoneCHAPTER 02 – DIVISION OF HIGHWAYSSUBCHAPTER 02D – HIGHWAY OPERATIONSSECTION .0600 – OVERSIZE – OVERWEIGHTPERMITSNote: Previous temporary amendments which wereapproved May 17, 2001 by RRC appear in bold print.19A NCAC 02D .0601 PERMITS-AUTHORITY,APPLICATION AND ENFORCEMENTTEMPORARY RULES16:15 NORTH CAROLINA REGISTER February 1, 20021738(a) The State Highway Administrator or his designee shall issueoversize/overweight permits for qualifying vehicles.Irrespective of the route shown on the permit, a permittedvehicle shall travel an alternate route:(1) if directed by a law enforcement officer withjurisdiction;(2) if directed by an official traffic control deviceto follow a route to a weighing device.(3) if the specified route on the permit is detouredby an officially erected highway sign, trafficcontrol devices, or law enforcement officer,the driver of the permitted vehicle shallcontact the Central Permit Office or theissuing field office for house move permitsas soon as reasonably possible for clearanceof route or revision of the permit.(b) Prior to application for an oversize, overweight, oroversize/overweight permit, the vehicle/vehicle combinationand the commodity in transport shall be reduced or loadedto the least practical dimensions and weight. Application forpermits with the exception of house move permits shall bemade to the Central Permit Office in writing on formsapproved by the Department of Transportation or via telephone.Written applications are required for over heights in excessof 14'. Applications for permits shall be submitted in writingto the Central Permit Office for consideration of approvalfor moves exceeding:(1) a gross weight of 132,000 pounds with thefee specified in G.S. 20-119(b) at least tenworking days prior to the anticipated dateof movement; or(2) a width of 15' with documentation forvariances at least ten working days prior tothe anticipated date of movement with theexception of a mobile/modular unit withmaximum measurements of 16' wide unitand a 3" gutter edge; a width of 16' 11"with the exception of house moves isrequired to be submitted with the feespecified in G.S. 20-119(b) withdocumentation for variances at least tenworking days prior to the anticipated dateof movement; or(3) a height of 14 feet at least two working daysprior to the anticipated date of movement.Upon completion of an engineering studyfor moves exceeding a gross weight of132,000 pounds, a surety bond to coverpotential damage to highways and bridgestructures shall be required for overweightpermits if the engineering study showspotential for damage to highways andbridge structures along the particular routeof the requested permit.(c) The North Carolina licensed mobile/modular home retaildealer shall maintain records of all mobile/modular unitsmoved by authority of an annual permit for a minimum offour years from the date of movement. The records shall bereadily available for inspection and audit by officers of theDivision of Motor Vehicles. Monthly reports shall besubmitted by the dealer to the Central Permit Office on a
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NORTH CAROLINAIN THIS ISSUEI. EXECU
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NORTH CAROLINA REGISTERPublication
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EXECUTIVE ORDERSEXECUTIVE ORDER NO.
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(l) Six members from non-profit age
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IN ADDITIONThis Section contains pu
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IN ADDITIONU.S. Department of Justi
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IN ADDITIONU.S. Department of Justi
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IN ADDITIONPUBLIC HEARING NOTICETIT
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RULE-MAKING PROCEEDINGSA Notice of
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PROPOSED RULESfor public hearing ma
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(2) the characteristics which make
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shall be allowed shall be non-domes
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Person CountyPitt CountyVance Count
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PROPOSED RULESCreek and all tributa
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esult in the termination of the int
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Authority G.S. 88B-4; 88B-21(e).21
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(D)(E)experience shall be considere
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(4) Examination. The examination fe
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competence in the subject matter, a
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(3) The licensee's written signatur
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adio signals of the Department of D
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TEMPORARY RULESThis Section include
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(3) provide documentation of all as
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(i) pediatric patient which equals
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Eff. November 1, 1990;Temporary Ame
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quarter of the third year of operat
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Page 55 and 56: accepted medical practice at each f
Page 57 and 58: TEMPORARY RULES8 (Gaston) June 1, 2
Page 59 and 60: (19) There are 10 categories of pro
Page 61 and 62: TEMPORARY RULESCleveland Yadkin War
Page 63 and 64: TEMPORARY RULES12Cherokee, Clay, Gr
Page 65 and 66: the multi-county groupings as defin
Page 67 and 68: (A) If the number of five-bed ICF/M
Page 69 and 70: TEMPORARY RULESGaston 1Wake 1(b) Fi
Page 71 and 72: TEMPORARY RULESthere is no need for
Page 73 and 74: TEMPORARY RULEScounty's June 30, 20
Page 75 and 76: (C)certificate of need has beenissu
Page 77 and 78: TEMPORARY RULESVance 1Watauga 1Wilk
Page 79 and 80: 20 miles of the Academic Medical Ce
Page 81 and 82: (C)(D)nursing care was not known to
Page 83 and 84: (b) Need Determination for at Least
Page 85 and 86: Comment Procedures: Written comment
Page 87 and 88: entitled to receive such informatio
Page 89 and 90: (A) during open seasons prescribed
Page 91 and 92: TEMPORARY RULESTemporary Adoption E
Page 93 and 94: (2) an originally executed copy of
Page 95 and 96: History Note: Authority G.S. 78C-16
Page 97 and 98: (B)(C)TEMPORARY RULES(i.e., purchas
Page 99 and 100: administrator by its examiners orot
Page 101 and 102: (1) Uniform Termination Notice for
Page 103: electronically (if it has not previ
Page 107 and 108: mobile/modular homes not to exceed
Page 109 and 110: Temporary Amendment Eff. October 1,
Page 111 and 112: Lisa MartinLinda RaynorDedra Alston
Page 113 and 114: RULES REVIEW COMMISSION21 NCAC 58C
Page 115 and 116: RULES REVIEW COMMISSIONAccrued Paym
Page 117 and 118: RULES REVIEW COMMISSIONCertificatio
Page 119 and 120: CONTESTED CASE DECISIONSThis Sectio
Page 121 and 122: CONTESTED CASE DECISIONSLuther I Go
Page 123 and 124: CONTESTED CASE DECISIONSPandora M.
Page 125 and 126: CONTESTED CASE DECISIONSFordion Pac
Page 127 and 128: CONTESTED CASE DECISIONSTown of Mur
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NC Register Volume 16 Issue 15 - Office of Administrative Hearings

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