Arizona Corporation Commission
Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
|
Final Rulemaking and Legislation
The Notice of Final Rulemaking ("NFRM") provides a brief explanation of the rule, including the Corporation Commission's reason for promulgating the rule, and the full text of the final rule submitted to the Arizona Secretary of State for publication.
A.A.C. Section Number | Title | Effective Date | Link |
| R14-4-116 | NASAA Statements of Policy | 10/21/2008 | NFRM |
| R14-4-135 | Exempt Securities-Multijurisdictional Disclosure System | 7/01/2007 | NFRM |
R14-6-101 & R14-6-206 | R14-6-101 Definitions; R14-6-206 Custody of Client Funds or Securities by Investment Advisers | 02/12/2007 | |
R14-4-149 | Exemption from registration for offers made in connection with a pending application | 08/19/06 | |
R14-4-116 | NASAA Statements of Policy | 7/04/05 | |
R14-4-149 | Exemption from registration for offers made in connection with a pending application | 3/08/04 | |
R14-4-116 | NASAA Statements of Policy | 8/17/03 | |
R14-4-132 | Books and Records of Dealers | 5/03/03 | |
R14-4-134 | Guidelines for Securities Filings Pursuant to A.R.S § 44-1902 | 2/15/03 | |
R14-4-121 | Limitation on Activities of Securities Salesmen, Definitions | 2/15/03 | |
R14-4-301 through R14-4-308 | Rules of Procedure | 08/06/02 | |
R14-4-131 | Supervision of Salesmen | 07/06/02 | |
R14-4-148 | Exemption for Canadian Dealers and Salesmen | 12/06/01 | |
R14-4-114 | Recognized Manuals of Securities | 11/05/01 | |
R14-4-117 | Registration of Debt Securities | 03/01/01 | |
R14-4-101 | Exempt Transactions - existing stockholders and/or employees | 01/17/01 | |
R14-4-102 | Exempt transactions - restricted public offerings | 01/17/01 | |
R14-4-127 | Guidelines for securities filings pursuant to A.R.S. 44-1846 | 01/17/01 | |
R14-4-133 | Definition of partners and executive officers | 01/17/01 | |
R14-4-134 | Guidelines for securities filings pursuant to A.R.S. 44-1902 | 01/17/01 | |
R14-4-141 | Solicitation of interest prior to the filing of the registration statement | 01/17/01 | |
R14-4-144 | Suitability standards pursuant to A.R.S. 44-1845 | 01/17/01 | |
R14-6-101 through R14-6-212 | Investment Management Rules | 01/17/01 | |
R14-4-136 | Exempt Offerings Pursuant to Compensatory Arrangements | 11/22/00 | |
R14-4-140 | Accredited Investor Exemption | 11/22/00 | |
R14-4-104 | Registration of Dealers and Salesmen | 11/07/00 | |
R14-4-116 | Inspection of registration information | 05/03/00 | |
R14-4-116 | NASAA statements of policy | 05/03/00 | |
R14-4-118 | Statements required in prospectus | 05/03/00 | |
R14-4-119 | Additional registration requirements for preferred stock | 05/03/00 | |
R14-4-143 | General dissemination of information on the Internet | 01/14/00 | |
R14-6-204 | Required written examinations | 12/30/99 | |
R14-4-139 | Exempt public offerings for qualified purchasers; definitions | 12/21/99 | |
R14-4-126 | Limited offerings; definitions | 09/28/99 | |
R14-4-105 | Promotional securities; definitions | 04/19/99 | |
R14-4-146 | Processing of initial and renewal applications for the registration or exemption of securities offerings | 09/17/98 | |
R14-4-147 | Processing of applications for dealer and salesman registration | 09/17/98 | |
R14-6-105 | Processing of applications for investment adviser and investment adviser representative licensure | 09/17/98 | |
R14-4-141 | Solicitation of interest prior to the filing of the registration statement | 09/11/98 | |
R14-4-142 | Securities offerings on the Internet | 09/11/98 | |
R14-4-144 | Suitability standards pursuant to A.R.S. § 44-1845 | 09/11/98 | |
R14-4-145 | Exemption for electronic venture capital networks | 09/11/98 |
LEGISLATION
| General revenues; 2009-2010 S.B. 1003 (signed by the Governor 11/23/2009) Effective November 23, 2009. View session law 49th Legislature 4th Spec. Sess. chapter 3E, at www.azleg.state.az.us |
Securities Sales; Arizona Corporation H.B. 2159 (signed by Governor 4/7/2003) Effective September 18, 2003. View session law 46th Legislature 1st Reg. Sess. chapter 30, at www.azleg.state.az.us |
Arizona Corporation; Investment Management H.B. 2158 (signed by Governor 4/7/2003) Effective September 18, 2003. View session law 46th Legislature 1st Reg Sess. chapter 29, at www.azleg.state.az.us |
Securities Division; background checks SB 1159 (signed by Governor 4/7/2003) Effective September 18, 2003. View session law 46th Legislature 1st Reg. Sess. chapter 44, at www.azleg.state.az.us |
Corporation Commission; Securities enforcement - SB 1107 (Signed by Governor 05/06/2002) Effective August 22, 2002. View session law 45th Legislature 2nd Reg. Sess. chapter 157, at www.azleg.state.az.us |
Multiple enactments relating to fingerprinting - SB 1164 (Signed by Governor 4/29/2002) Effective April 29, 2002. View session law 45th Legislature 2nd Reg. Sess. chapter 99E, at www.azleg.state.az.us. |
Arizona Corporation Commission - SB1044 (Signed by Governor 3/13/2001) Effective August 09, 2001. View session law 45th Legislature 1st Reg. Sess. chapter 7, at www.azleg.state.az.us. |
