| Statement | Summary of Policy | Date |
| View | Distribution of identifying statements and preliminary prospectuses - Repealed 3/23/04 | 09-17-86 |
| View | Commission Policy Regarding Electronic Publication of Recognized Manuals of Securities Designated in A.A.C. R14-4-114. - Repealed 1/15/02 | 12-14-99 |
| View | Regulation D – R14-4-126 Overview Prohibition against dual registration by salesmen – R14-4-121 Registration of dealers engaging in exempt securities and transactions Dealer instruction sheet Foreign corporations transacting business in Arizona – Supplemental filing requirements Dealer surety bond requirements Interpretation of H.B. 2451 Repealed 8/27/99 | Fall 1983 Summer 1984 Spring 1985 12-90 1-23-87 1-23-87 6-27-91 |
| View | Statement of procedure regarding certain Securities Division’s time-frame rules | 07-16-98 |
| View | Shelf registrations | 08-22-91 |
| View | Guarantees/letters of credit | 01-21-91 |
| View | Form U-1 registration applications | 04-03-87 |
| View | Advertising materials | 04-03-87 |
| View | 1985 amendments to Rules R14-4-101--103 of the Securities Division | Winter 1986 |
| View | Registered issuers--reporting requirement | 04-22-85 |
| View | Zero coupon bonds | Spring 1985 |
| View | NASAA Statements of Policy | 11-27-84 |
| View | Sales of commodities—what constitutes security | Fall 1983 |
| View | Inquiries concerning pending registrations and no-action requests | 09-18-81 |
| View | Applications to register convertible securities, assessment options, warrants, or other rights to subscribe to securities | N/A |
