Skip Navigation

NC SOS

For Securities Professionals

Dealers and Salesmen

Securities dealers and salesmen conducting business in North Carolina are subject to the North Carolina Securities Act. Additional rules regarding the administration and enforcement of the Act are set forth in the North Carolina Administrative Code.

Investment Advisers and Representatives

Investment advisers and investment adviser representatives conducting business in North Carolina are subject to the North Carolina Investment Advisers Act. Additional rules regarding the administration and enforcement of the Act are set forth in the North Carolina Administrative Code.

Insurance Agents

For insurance agents wishing to sell variable annuities, please ask the compliance officer of the broker-dealer firm with which you are employed to file a Form U-4 on your behalf. Once your securities registration has been approved, contact the NC Department of Insurance at (855) 408-1212 and give them your CRD number and the effective date of your North Carolina securities registration. You must successfully pass the Series 63 exam to be a securities salesman.

Registrations, Covered Securities and Exemptions

The NC Securities Act requires that any securities offering made in North Carolina be registered with the NC Securities Division. If an offering falls under an exemption to registration, a notice filing is generally required in order to advise the Securities Division of the exemption. It is the responsibility of the issuer to prove entitlement to any claimed exemption. Click the header above for more information.

Crowdfunding

North Carolina has enacted its own intrastate crowdfunding law, the NC PACES Act. This new crowdfunding law offers an exemption if the offer or sale is conducted in accordance with specific guidelines.

Forms

How can we make this page better for you?

Request Support

Request support or submit a suggestion, we will get back to you via email or phone.
 

Get Started
Back to top