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

 

 

         

Securities Division

Securities
 
Raising Capital Overview: overview of registration requirements and exemptions commonly used by issuers offering securities for purposes of raising capital in Arizona.
 
Registration: registration by qualification, CER, ULOR/SCOR, Regional Review.
 
Exemptions: registration exemptions and covered securities filing requirements.
 
Mutual Funds: filing and fee requirements.
 
Forms  
 
 
 
 

 

 

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