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
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.
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.
Telephone(919) 814-5500 or (800) 688-4507
Mailing AddressNC Department of the Secretary of State
Post Office Box 29622
Raleigh, North Carolina 27626-0622
Physical Address (For overnight deliveries)NC Department of the Secretary of State
Department of the Secretary of State
2 South Salisbury Street
Raleigh, North Carolina 27601