Doug Little
Commissioner
Boyd Dunn
Commissioner
Tom Forese
Chairman
Andy Tobin
Commissioner
Bob Burns
Commissioner

 

 

         

Securities Division

ARIZONA DEALER AND SALESMAN REGISTRATION REQUIREMENTS
 
Applications for registration will be processed in accordance with A.A.C. R14-4-147
 
   
DEALER REGISTRATION
 
FINRA Member Dealers:
 
1. Form BD submitted through FINRA WebCRD [A.R.S. § 44-1941, A.A.C R14-4-129].
 
2. $300 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)44-1941(B)].
 
3. Audited financial statements [A.R.S. § 44-1941(A)(10)].
 
 
Non-FINRA Dealers:
 
1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
 
2.  $300 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
 
3. Audited financial statements [A.R.S. § 44-1941(A)(10)].
 
  
Issuer Dealers:
 
1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
 
2. $100 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
 
3. Audited financial statements [A.R.S. §§ 44-1941(A)(10), 44-1894(9) and (10)].
 
4. CPA consent [A.A.C. R14-4-120(D)]. 
 
5. Proof of principal examination or equivalent business experience [A.R.S. § 44-1942].
 
 
SALESMAN REGISTRATION
 
FINRA Member Salesman:
 
1. Form U-4 submitted through FINRA WebCRD [A.R.S. § 44-1945(A) and A.A.C. R14-4-129]. 
 
2. $45 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)44-1945(A)].
 
3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
 
 
5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].  
 
 
Non-FINRA Member and Issuer-Dealer Salesman:
 
1. Information required by A.R.S. § 44-1945(A)
 
2. $45 registration fee [A.R.S. §§ 44-1861(A)44-1945(A)].  
 
3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
 
 
5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].    
 
 
REPORTING REQUIREMENTS
 
FINRA Member Dealers
 
1. Statement of material changes submitted through FINRA WebCRD [A.R.S. § 44-1948(A)].
 
2. Annual audited financial statements [A.R.S. § 44-1948(A)].
 
 
Non-FINRA and Issuer Dealers:
 
1. Statement of material changes [A.R.S. § 44-1948(A)].
 
2. Annual audited financial statements [A.R.S. § 44-1948(A)].
 
 
Salesman: Statement of material changes [A.R.S. § 44-1948(A)].
  
 
RENEWAL
 
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 
 
1. $45 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
 
2. Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080]. 
 
  
NAME CHANGE/REORGANIZATION/MASS TRANSFER
 
In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.
 
 
 
 
  
  

 

 

Quick Launch...

 
Privacy Policy
|
Contact
© Copyright 2014 Arizona Corporation Commission - All Rights Reserved