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There has been a lot of discussion recently about auction rate securities. The Securities Division has designed this page to help North Carolina investors obtain accurate information about these products, and what they should do if they are having problems accessing the money they have invested in auction rate securities.
As with any other type of investment security, North Carolina residents having problems with their auction rate securities, broker-dealers, and/or investment adviser representatives, should contact the North Carolina Securities Division at (800) 688-4507, or by email at secdiv@sosnc.com. Complaint forms are available at http://www.secretary.state.nc.us/sec/complaint.aspx.
Auction Rate Securities: Questions & Answers
Auction Rate Securities Primer prepared by the Auction Rate Securities Task Force of the North American Securities Administrators Association (NASAA).
NASAA Auction Rate Securities Information Center
NC Securities Division Complaint Form
Investor Education Brochures
NC Securities Division Home