Securities

Statutes and Administrative Rules

This takes you to the North Carolina Statutes and Administrative Rules page which lists links and information about NC laws that pertain to securities.

The North Carolina Securities Act encompasses the state laws governing the securities industry within North Carolina. Here are some key points from the Act:

Registration of Securities: The Act provides for the registration of securities offered or sold in the state.

Dealers and Salesmen It also covers the registration of dealers and salesmen who sell securities in North Carolina.

Prohibition of Fraud The Act prohibits fraud in the offer or sale of securities within the state.

Sanctions: Administrative, civil, and criminal sanctions are outlined for violations of its provisions.

If you'd like more detailed information, you can explore the full text of the North Carolina Securities Act at https://www.ncleg.gov/Laws/GeneralStatuteSections/Chapter78A.