Securities
IA Examination and Compliance Team
The IA Examination and Compliance Team conduct routine and for-cause examinations of the books and records of registered investment advisers. They investigate complaints against persons and firms registered or required to be registered under the North Carolina Investment Advisers Act . They review and investigate disciplinary and other disclosure information required to be filed with the Division to ensure that registered persons and firms remain in compliance with all applicable laws and regulations. Generally, the Division conducts examinations on state-registered investment advisers with main offices in North Carolina, however all registered investment advisers may be subject to such examinations. For more information, see the information for Investment Advisers and Representatives.
Investor Protection and Education Services Team
The Investor Protection and Education Services Team have been aggressive in their undertaking of investor education initiatives to assist North Carolina citizens in making informed investment decisions. The Investor Protection and Education Services Team has organized or participated in educational outreach events in all 100 North Carolina counties, providing information to thousands of people. Be sure to subscribe to or browse our electronic newsletters, our extensive library of free educational materials, and check our Calendar of Upcoming Events to see if we're coming to your town or one near you! You may also request a speaker by sending an email to [email protected]. Include "Request a Speaker" in the subject line.
Athlete Agent Registration Team
The Athlete Agent Registration Team processes and reviews the applications for registration and renewal of registration for individuals that want to act as athlete agents. The team administers the North Carolina Uniform Athlete Agents Act and investigates complaints against persons registered under the Act. Disciplinary information filed with the Division is reviewed and investigated to ensure that registered athlete agents remain in compliance with all applicable laws and regulations. For more information, See Athlete Agent Registration Office.
Enforcement News
This page gives the latest news about securities enforcement. A list of links to press releases about enforcement topics.
This page also has information about cease and desist orders.
A cease and desist order is a legal directive issued by an administrative agency, requiring a person or entity to stop a specific activity. It is used in various areas of law, including labor and employment law, securities law, and education law. A summary cease and desist order is issued prior to a hearing or without judicial proceedings, and the violator must request a hearing within a certain time frame; otherwise, the order becomes final.