Securities

Calendar of Upcoming Events

A representative from the Securities Division will be giving an anti-fraud presentation on the listed dates and locations. If you would like to schedule a speaker for your organization, Contact John Maron at 919-814-5500.

Request a Speaker

Monthly Newsletter

Join our email list to receive notices, fraud alerts and the monthly e-newsletter from the NC Securities Division.

For Insurance Agents

I am an insurance agent who wishes to sell variable annuities in North Carolina. What do I need to do?

NC PACES Act

North Carolina has enacted its own intrastate crowdfunding law, the PACES Act. Visit our crowdfunding section to learn more about this new option for your business venture.

Cryptocurrencies & Investing

Learn more before investing in cryptocurrencies.

Investor Hotline

If an investment opportunity sounds 'too good to be true' - IT PROBABLY IS! We encourage investors to make sure that any investment offer and the person making the offer are properly registered with the state by calling our investor hotline at 800-688-4507

Enforcement News

See the enforcement actions we have taken to protect North Carolina investors.

Welcome to the Securities Division

Welcome to the North Carolina Securities Division website! Whether you're an investor or an investment industry professional, we hope that you will find this website to be a useful source of information.

Browse Securities

For Professionals and the Industry

IA/BD

Check a Registration

Offerings

Compliance

For Investors

Request a Speaker

News & Publications

What We Do

The offer, sale, and purchase of securities are subject to a very complex system of regulation carried out by federal, state, and self-regulatory agencies. We administer and enforce North Carolina’s securities laws, which are located in Chapters 78A, 78C and 78D of the North Carolina General Statutes. The intent of these laws is to protect the investing public by requiring a satisfactory investigation of both the people who offer securities as investments and of the securities themselves.

The Securities Division also addresses investor complaints concerning securities brokers and dealers, investment advisers and commodity dealers as well as complaints about offerings of particular investments.

Contact Securities

Mailing Address

North Carolina Department of the Secretary of State
Securities Division
Post Office Box 29622
Raleigh, North Carolina 27626-0622

Physical Address

North Carolina Department of the Secretary of State
Securities Division
Department of the Secretary of State
2 South Salisbury Street
Raleigh, North Carolina 27601

Phone:

919-814-5500

Toll free

800-688-4507

Fax:

919-814-5596

Email:

[email protected]