Skip Navigation

Popular Searches on ncsos.gov:

NC SOS

SEC OF STATE BUILDINGS CLOSING TO PUBLIC On March 10, Gov. Cooper declared a State of Emergency related to the Coronavirus. As of Friday, March 20 at 4 pm the downtown Raleigh and Atlantic Avenue locations of the Secretary of State’s office are closed to the public until further notice. Given the small size of the lobby area and the heavy walk-in traffic by the public, this decision was made for the health and safety of our customers and staff. Most of our services can be conducted online at SOSNC.GOV and over the phone. We urge customers to submit their documents to us online at SOSNC.GOV and continue calling us at 919-814-5400, or you can find specific email addresss on our website. Some customers could experience minor delays. For more information on Coronavirus in NC, click here.
NC Stay At Home Order
If your business was excluded from the list considered essential, you can make that request from the NC Dept. of Revenue
Office Closure The Secretary of State's Office will be closed on Friday, April 10 in observance of Good Friday. We will reopen at 8 a.m. on Monday, April 13.

Securities

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

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

Telephone

(919) 814-5400 or (800) 688-4507

Fax

(919) 807-2183

Mailing Address

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

Physical Address (For overnight deliveries)

NC Department of the Secretary of State
Securities Division
Department of the Secretary of State
2 South Salisbury Street
Raleigh, North Carolina 27601
How can we make this page better for you?

Request Support

Request support or submit a suggestion, we will get back to you via email or phone.
 

Get Started
Back to top