• North Carolina is a disclosure jurisdiction.
  • North Carolina accepts the Uniform Application to Register Securities (Form U1), and does not allow for electronic signature of forms.
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • SEC Form 1-A with exhibits
    • North Carolina requires that a registration by qualification be sponsored by a North Carolina registered broker-dealer. Sponsorship of an issue by a North Carolina registered dealer may be accomplished by the dealer signing the application form as applicant, or in lieu thereof, the sponsoring dealer may wire or write the administrator stating its intention to offer such securities to the investing public in North Carolina.
  • North Carolina collects a fixed fee in the amount of $2,000 for Tier 1 filings. Fees should be made payable to “NC Secretary Of State.” Payments should be sent to the following address:
Mailing Address:  Courier Address:
Secretary Of State
Securities Division
P.O. Box 29622
Raleigh, NC 27626-0622
Secretary Of State
Securities Division
4701 Atlantic Avenue, Suite 116
Raleigh, NC 27604


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