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
Our telefax number is (919) 807-2183. General email
queries may continue to be sent to email@example.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
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’s 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!