Welcome to the North Carolina Securities Division website! Whether you are an investor or work in the securities industry, we hope that you will find this website to be a useful source of information.

NOTICES / ALERTS -- Join our email list to receive notices, fraud alerts and the monthly e-newsletter from the NC Securities Division.

The North Carolina Securities Division is physically in the Millbrook Collection Shopping Center located at 4701 Atlantic Avenue, Suite 116, Raleigh, NC. Our mailing address is PO Box 29622, Raleigh, NC 27626-0622. Our telephone number is (919) 733-3924 or toll-free at (800) 688-4507. Our telefax number is (919) 807-2183. General email queries may continue to be sent to secdiv@sosnc.com. To file a complaint, please see the procedures listed under "How to File a Complaint" listed in the menu to the left."

If you are an investor, and someone is offering you an investment opportunity that 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.

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 North Carolina‚Äôs securities laws, which are located in Chapters 78A and 78C 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. Although the Division cannot represent an investor in a claim for monetary damages, the staff can investigate alleged violations and may suspend or revoke licenses, issue stop orders against securities offerings, issue cease-and-desist orders, seek court-ordered injunctions or refer matters to an appropriate district attorney for criminal prosecution. Conviction of willfully violating the securities statutes carries the penalty of a felony.

Again, welcome to our site. Take a look at the information available from the links on this page, and please contact us if we can be of any help!

 
 
For more information, please contact us at:
The Securities Division
Department of the Secretary of State
PO Box 29622
Raleigh, NC 27626-0622
(919) 733-3924
 
For overnight mail:
The Securities Division
Department of the Secretary of State
2 South Salisbury St
Raleigh, NC 27601-2903

The Securities Hotline
(800) 688-4507
 
Deputy Securities Administrator David Massey, (919) 733-3924
 

The Division also administers the Qualified Business Tax Credit Program in which investors may obtain tax credits based on money invested in qualified business ventures, qualified grantee businesses, and qualified licensee businesses -- all registered by the Secretary of State.

As the state's securities administrator, the Secretary of State is a member of the North American Securities Administrators Association (NASAA), and works with other state securities agencies, federal agencies and industry groups to adopt uniform policies on securities regulation.