North Carolina law

Securities & Finance Laws in North Carolina.

Federal securities law ('33 Act, '34 Act, '40 Act) is administered by the SEC. North Carolina supplements with the North Carolina Securities Act (N.C.G.S. Chapter 78A), administered by the Secretary of State's Securities Division. The Act governs registration of securities (where not federally preempted), broker-dealers, investment advisers, and agents, and provides state anti-fraud remedies. North Carolina is home to the major Charlotte banking-and-finance sector (Bank of America, Wells Fargo East Coast HQ), producing significant securities and finance practice.

Last verified: 2026-04-17

State law

Key North Carolina Statutes

North Carolina Securities ActN.C.G.S. Chapter 78A

Governs registration of securities and of broker-dealers, investment advisers, and agents.

Anti-Fraud ProvisionN.C.G.S. § 78A-8

Prohibits schemes to defraud, material misstatements or omissions, and fraudulent or deceitful practices in connection with securities transactions.

Civil LiabilityN.C.G.S. § 78A-56

Buyers of securities sold in violation of the Act may sue for rescission or damages. Subject to 2-year discovery / 5-year repose.

State law

Official Sources

NC Secretary of State — Securities Division U.S. SEC

Not Legal Advice

This page summarizes publicly available statutes and rules for informational purposes only. It does not constitute legal advice, and no attorney-client relationship is created by viewing this content. Laws change — always verify with the primary source or consult a licensed attorney in North Carolina.

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