Securities
Enforcement News
Click here for information about the enforcement actions we have taken to protect North Carolina investors.
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
Cryptocurrencies & Investing
Learn more before investing in cryptocurrencies.
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.
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?
Calendar of Events
A representative from the Securities Division will be giving an anti-fraud presentation on the listed dates and locations. All presentations are free and open to the public unless otherwise indicated. If you would like to schedule a speaker for your church, business, group or organization, please contact John Maron at (919) 814-5400 or (800) 688-4507.
Continuing Legal Education(CLE)
Notice of upcoming free North Carolina State Bar Approved Continuing Legal Education(CLE) courses.
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.
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) 688-4507Fax
(919) 807-2183Mailing Address
NC Department of the Secretary of StateSecurities Division
Post Office Box 29622
Raleigh, North Carolina 27626-0622
Physical Address (For overnight deliveries)
NC Department of the Secretary of StateSecurities Division
Department of the Secretary of State
2 South Salisbury Street
Raleigh, North Carolina 27601