Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
Arizona Corporation Commission Securities Division
The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions as well as the registration and oversight of securities, securities dealers and salespersons, and investment advisers and their representatives; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business.
REGULATORY ADVISORY: On April 1, 2015, Governor Ducey signed HB 2591 into law to establish an intrastate crowdfunding exemption. The exemption became effective on July 3, 2015. Click here for more information.