Securities Division

The NC Securities Division administers and enforces North Carolina’s securities laws. 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.

Details

The NC Securities Division administers and enforces North Carolina’s securities laws. 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.

Phone: 919-814-5400

Website: https://www.sosnc.gov/sec/

This agency is related to: