Licensing and Registration Main Menu

Dealers/Salesmen: This section contains Questions & Answers; Dealer application instructions and forms, salesman registration requirements; links to relevant statutes and rules; and a link to the FINRA website.

Investment Advisers: This section includes links to relevant forms, statutes, and licensing information.

Fees: This section includes the fees required in Arizona.

General: Contains general information regarding securities laws in Arizona.

Registration: This section includes registration by qualification; registration by description; issuer dealer registration.

ULOR/SCOR: This section contains information and forms required for ULOR/SCOR offerings. [A.R.S. § 44-1902 and R14-4-134]

Church Bonds: This section contains information about the registration of interest bearing or noninterest bearing debt securities issued by a person organized and operated exclusively for religious purposes. [A.R.S. § 44-1843(A)(6)(c)]

Coordinated Equity Review: This section contains information about the coordinated equity review program, including the necessary forms and guidelines. This program is designed to streamline the registration process for issuers and to promote uniformity among the states that participate by applying set standards to equity offerings.

Regional Review: This section contains information regarding the Western Regional Review program, which may be utilized by ULOR/SCOR offerings and Regulation A offerings.

NASAA Statements of Policy: This section contains links to the North American Securities Administrators Association statements of policy incorporated into Arizona law pursuant to A.A.C R14-4-116.

Federal Covered Securities: This section contains information about notice filing requirements for transactions involving covered securities as defined in the Securities Act of 1933.

Mutual Funds: This section contains information regarding investment company notice filing requirements.

Regulation A: Contains information regarding SEC Regulation A offerings in Arizona.

Regulation D: Contains information regarding SEC Regulation D offerings in Arizona.

Rule 504: Contains information regarding SEC Rule 504 offerings in Arizona.

Viatical or Life Settlement Investment Contracts:  Contains information regarding exemption filing {A.R.S. § 44-1850]