Information presented on this Web site is collected, maintained, and provided for the convenience of the reader. While every effort is made to keep such information accurate and up-to-date, the Secretary of State does not certify the authenticity of information herein that originates from third parties. The Secretary of State shall under no circumstances be liable for any actions taken or omissions made in reliance on any information contained herein or for any other consequences of any such reliance.
North Carolina Securities Act  (*Please see important notice below.)
North Carolina Investment Advisers Act
North Carolina Commodities Act
North Carolina Administrative Procedure Act
Title 18, Chapter 06A of the North Carolina Administrative Code
Adopted Model Rules
NEW! Order granting temporary relief for investment advisers previously exempt from registration under N.C.G.S. ยง78C-16(a)(4).
Internet Order
Informational Bulletin NC-IA 2011-001
Informational Bulletin NC-IA 2011-002