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Official website of the State of North Carolina

Securities

Forms

Securities Dealer – Form BD
Securities Salesperson – Form U-4
Investment Adviser – Form ADV Part I & 2
Investment Adviser Representative – Form U-4

To register, use the CRD and the IARD registration systems.

Registered public offering of securities
Securities offering – Forms U-1, U-2 and U-2A (for corporate issuer)

See N.C.G.S. §§ 78A-26, -27 & -28

North American Securities Administrators Association (NASAA)

Small Company Offering Registration (SCOR) – Forms U-7, U-1, U-2 and U-2A (for corporate issuer)

See N.C.G.S. § 78A-27
See the NASAA website.

Notice filing for a mutual fund – Form NF

See N.C.G.S. § 78A-31(a)
See the NASAA website.

Rule 506 transaction notice filing – Form D
State filing requirements for Issuers Relying on the Securities Act of 1933, Regulation D, Rule 506

See requirements at 18 NCAC 06A.1211(PDF)
See the Securities and Exchange Commission (SEC)(PDF) website.
Electronic filing available at US Electronic Filing Depository

Limited offering subject to Rule .1205(b)

See requirements and schedule at 18 NCAC 06A.1205(b) (PDF)
Form U-2 (and Form U-2A, for corporate issuer) -- NASAA website

Exempt not-for-profit offering -- Schedule required by Rule.1209(d), plus Form U-2 (and Form U-2A, for corporate issuer)

See schedule at 18 NCAC 06A.1209(d)(PDF)
Form U-2 (and Form U-2A, for corporate issuer) – NASAA website