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.
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 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. 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. For
information about filing a complaint, please visit "How to File a
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
The Securities Division also administers the Uniform Athlete Agents Act in Article 9 of Chapter 78C of the North Carolina General
Statutes. For more information, please visit our
Athlete Agent Registration page.
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!
Deputy Securities Administrator
NOTICES / ALERTS
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