Skip Navigation

NC SOS

NC Statutes and Administrative Rules

North Carolina Securities Act contains the state laws regarding the regulation of the securities industry in North Carolina. The Act provides for the registration of securities offered or sold in the state, and of dealers and salesmen who sell securities in the state, prohibits fraud in the offer or sale of securities in North Carolina, and provides for administrative, civil, and criminal sanctions for violations of its provisions.

The North Carolina Investment Advisers Act contains the state laws regarding the regulation of investment advisers and representatives who render investment advice in the state, prohibits fraud in the rendering of investment advice in the state, and provides for administrative, civil, and criminal sanctions for violations of its provisions.

North Carolina Commodities Act contains the state laws regarding the regulation of the commodities industry in North Carolina. It provides for the regulation of commodities and commodities sales in North Carolina as well as for administrative, civil, and criminal sanctions for violations of its provisions.

The North Carolina Uniform Athlete Agents Act , as a part of the NC Investment Advisers Act, requires the registration of any individual acting as an athlete agent in North Carolina.

The NC PACES Act, North Carolina’s own intrastate crowdfunding law, offers an exemption from registration if the offer or sale of a security is conducted in accordance with specific guidelines.

The North Carolina Administrative Code contains the rules for the administration and enforcement of all of the foregoing Acts.

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