1300 W. Washington Street
Phoenix, AZ 85007-2996
Applications for registration will be processed in accordance with A.A.C. R14-4-147
FINRA Member Dealers:
Non-FINRA Dealers:
Issuer Dealers:
FINRA Member Salesman:
Non-FINRA Member and Issuer-Dealer Salesman:
FINRA Member Dealers:
Non-FINRA and Issuer Dealers:
Salesman: Statement of material changes [A.R.S. § 44-1948(A)].
FINRA Member and Non-FINRA Dealers: $300 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
Issuer Dealers: $100 annual fee on or before December 31 [A.R.S. § 44-1861(B)].
Salesman:
In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.
Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.
Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances.Please call 602-542-3931 with any questions.
Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.