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NC SOS

OPEN BY APPT. ONLY We know these last few months have been difficult for everyone and we appreciate your patience and understanding around keeping our customers, the public, and employees safe and healthy. We have completed some physical modifications to the lobby and are transitioning to in-person services by appointment only to allow for social distancing in our small public lobby. Due to the small space in the public lobby, only a limited number of appointments will be accepted each business day. The building will remain closed to the public who do not have an appointment.
For customers with an appointment, make sure to complete documents ahead of time and that a check or money order for the exact amount is ready. The Secretary of State’s office cannot provide legal advice related to your filings. Make sure you have consulted any legal resources required in advance. You will receive additional instructions when you make an appointment.
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For more information on Coronavirus in NC,
click here.
Frequent Requests Include How to File an Annual Report and How to Reinstate My Business

Securities

Welcome to the Securities Division

Welcome to the North Carolina Securities Division website! Whether you're an investor or an investment industry professional, we hope that you will find this website to be a useful source of information.

What We Do

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.

Contact Securities

Telephone

(919) 814-5400 or (800) 688-4507

Fax

(919) 807-2183

Mailing Address

NC Department of the Secretary of State
Securities Division
Post Office Box 29622
Raleigh, North Carolina 27626-0622

Physical Address (For overnight deliveries)

NC Department of the Secretary of State
Securities Division
Department of the Secretary of State
2 South Salisbury Street
Raleigh, North Carolina 27601
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