Telephonic Seller Registration Manual

How do I contact you or submit a document?

Mailing Address

Physical Address

What is the effective date of my registration?

The effective date will be the date we accept your application as complete and filed.

How will I know what the effective date is?

The effective date will be on the certificate of registration that is returned to you.

Do you need to register?

This takes you to the Do you Need to Register as a Telephonic Seller page.

Always consult an attorney to help you determine if you should file as a telephonic seller in North Carolina.

Telephonic seller does not include these activities:

• A securities "dealer" within the meaning of G.S. 78A-2(2) or a person excluded from the definition of "dealer" by that provision: a "salesman" within the meaning of G.S. 78A-2(9) ;an "investment adviser" within the meaning of G.S. 78C-2(1) or a person excluded from the definition of "investment adviser" by that provision; or an "investment adviser representative" within the meaning of G.S. 78C-2(3) provided that such persons shall be excluded from the terms "telephonic seller" and "seller" only with respect to activities regulated by Chapters 78A and 78C.
• Any person conducting sales or solicitations on behalf of a licensee of the Federal Communications Commission or holder of a franchise or certificate of public convenience and necessity from the North Carolina Utilities Commission.
• Any insurance agent or broker who is properly licensed by the Department of Insurance and who is soliciting within the scope of the agent's or broker's license or any employee or independent contractor of an insurance company licensed by the Department of Insurance conducting sales or solicitations on behalf of that company.