North Carolina Securities Litigation and Arbitration Lawyers

North Carolina investors have rights and protections under numerous laws and regulations. 

The North Carolina Securities Act (NCSA) is the state law that regulates the sale of securities in North Carolina. It is administered by the North Carolina Secretary of State, Securities Division.

The NCSA is designed to protect investors from fraud and to ensure that investors have access to accurate information about the securities they are considering purchasing.

The NCSA requires that all securities offered for sale in North Carolina be registered with the Securities Division, unless the securities or transactions are exempt. Exempt securities include:

• Securities issued by the United States or the state of North Carolina

• Securities issued by certain banks and other financial institutions

• Securities issued by certain non-profit organizations

• Securities offered in certain private transactions

The NCSA also requires that all broker-dealers, agents, and investment advisers who offer or sell securities in North Carolina be registered with the Securities Division.

Here are some of the key provisions of the NCSA:

• Registration of securities: All securities offered for sale in North Carolina must be registered with the Securities Division, unless the securities or transactions are exempt.

• Registration of broker-dealers, agents, and investment advisers: All broker-dealers, agents, and investment advisers who offer or sell securities in North Carolina must be registered with the Securities Division.

• Anti-fraud provisions: The NCSA prohibits fraud and other unfair practices in the sale of securities.

• Enforcement: The Securities Division is responsible for enforcing the NCSA. The Division can investigate alleged violations of the law and take enforcement actions, such as issuing cease-and-desist orders and imposing fines.

North Carolina investors are additionally protected by the following federal laws and regulations:

• The Securities Act of 1933

• The Securities Exchange Act of 1934

• The Trust Indenture Act of 1939

• Investment Company Act of 1940

• Investment Advisor Act of 1940

• Sarbanes-Oxley Act of 2002

• Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

• Jumpstart our Business Startups Act of 2012

• FINRA Regulations 

• Securities and Exchange Commission (SEC) Regulations

To discuss your rights under North Carolina or federal securities laws, schedule a consultation with our law firm.