A.A.C. Section Number | Title | Effective Date | Link |
| 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 | |
