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NC SOS

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.

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
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