Kristin K Mayes
Commissioner 		William Mundell
Commissioner 		Mike Gleason
Chairman 		Jeff Hatch-Miller
Commissioner 		Gary Pierce
Commissioner

Arizona Corporation Commission
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Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
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Forms
 
Dealer/Salesman - Contains an information packet, instructions, and forms for Dealer and Salesman registration.  After clicking on the link above, please choose the "Save To Disk" option before running the .EXE or PDF file.
 
Notice to Prospective Dealers (02-28-01)  Please Note: As of March 1, 2001, Arizona will no longer directly be accepting the filing fee for new/amended dealer applications.  Instead, the fee for dealer applications filed in Arizona on or after March 1, 2001, should be remitted to the NASD Regulation, Inc. directly through its CRD system.  If you have any questions, please call the Securities Division at 602/542-4242
 
Investment Adviser - Contains an information packet, instructions, and forms for Investment Adviser and Investment Adviser Representative licensing & notice filing.
 
Securities/Small Business - Contains forms and information packets for registration of Securities, Mutual Fund notice filings, ULOR/SCOR registration, Coordinated Equity Review, Regulation A offerings, Regulation D offerings, and Issuer/Dealer registration.
 
Investor Complaints - Contains the Securities Division complaint form and instructions.
 
Public Records Reproduction Requests - Contains the forms required for obtaining copies of public records and documents, including lists of regulated entities and individuals.
 
All Forms/Packets - Lists all forms and packets available.
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