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

 

 

         

Securities Division

REGISTRATION OF SECURITIES
 
Applications for registration will be processed in accordance with A.A.C. R14-4-146.
 
  
REGISTRATION BY QUALIFICATION
 
 
 
Other Documents Required: 
 
1. Registration Statement/Prospectus.
2. Charter/organization documents.
3. Indenture.
4. Underwriting agreement.
5. Opinion of counsel.
6. Specimen certificate.
 
Filing FeesOne-tenth of one percent of the aggregate offering price of the securities to be sold in Arizona, with a minimum fee of $200.00 and a maximum fee of $2000.00 [A.R.S. § 44-1892].
  
Coordinated Review-EquityArizona participates in a coordinated state registration procedure for issuers seeking to sell equity securities.  Additional information may be found online at http://www.coordinatedreview.org/cr-equity.html.   
 
Issuer Dealer Registration:  required if issuer is not offering the securities through a registered dealer.
 
 
ULOR/SCOR
 
 
Arizona Uniform Limited Offering Registration allows corporations to raise up to $5 million in any twelve month period through the sales of stock and/or debt to the public in Arizona.  Issuers engaging in these types of offerings generally rely upon Regulation A or Regulation D, Rule 504, at the federal level.
 
 
Other Documents Required: 
 
1. Charter/organization documents.
2. Indenture.
3. Underwriting agreement.
4. Opinion of counsel.
5. Specimen certificate.
 
Filing Fees:  $250.00 [A.R.S. §§ 44-1861(N), 44-1902(B)(6), A.A.C. R14-4-134(F)].
 
SCOR-West: Arizona participates in the SCOR-West program, which provides a uniform state registration procedure designed to coordinate the blue-sky registration process in certain western states.  This program is administered by the Washington State Department of Financial Institutions.  Information regarding this program is available online at http://www.dfi.wa.gov/sd/scorwest.htm. 
 
Issuer Dealer Registration:  required if issuer is not offering the securities through a registered dealer.
 
 
 
 

 

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