Information presented on this Web site is collected, maintained, and provided for the
convenience of the reader. While every effort is made to keep such information accurate and up-
to-date, the Secretary of State does not certify the authenticity of information herein that
originates from third parties. The Secretary of State shall under no circumstances be liable for
any actions taken or omissions made in reliance on any information contained herein or for any
other consequences of any such reliance.
 
STATUTES
North Carolina Securities Act  (*Please see important notice below.)
North Carolina Investment Advisers Act
North Carolina Commodities Act
North Carolina Administrative Procedure Act
 
*On August 7, 2009, North Carolina Governor Beverly E. Perdue signed Senate Bill 202 into law. Included in this new law was an amendment to North Carolina General Statutes §78A-37(b) concerning initial and renewal registration fees for securities salesmen. The amendment, contained in Section 24.1.(a) of the law, increased the registration fee for a securities salesman from $75.00 to $125.00, effective August 15, 2009. The full legislative language is contained in Session Law 2009-451.
 
*On July 16, 2008, North Carolina Governor Michael F. Easley signed House Bill 2436 into law. Included in this new law was an amendment to North Carolina General Statutes § 78A‑31(a)(4) concerning notice filings for offerings of investment company securities. The amendment, contained in Section 29.3 of the law, increased the annual filing fee for such covered securities from $250.00 to $2000.00, effective July 20, 2008. The full legislative language is contained in Session Law 2008-107.
 
RULES
Title 18, Chapter 06A of the North Carolina Administrative Code
 
Adopted Model Rules
 
ORDERS
NEW! Order granting temporary relief for investment advisers previously exempt from registration under N.C.G.S. §78C-16(a)(4).
Internet Order
 
BULLETINS
Informational Bulletin NC-IA 2011-001
Informational Bulletin NC-IA 2011-002