The goal of AzInvestor is to promote wise investing and fraud prevention. Read more about the mission of your state securities regulator, including the enforcement of securities and investment management laws, oversight of those who offer and sell
investments and provide investment advice, and assistance in legitimate capital formation.
The Securities Division, which is one of eight divisions of the Arizona Corporation Commission, has two primary functions:
- Enforcement--whose function is to investigate and take action regarding securities violations generally involving individuals and companies who are not licensed to sell securities. The enforcement staff reviews investor complaints gathered from a
variety of sources, investigates to determine a course of action, and if warranted, initiates an enforcement action,
either seeking administrative and/or civil remedies, or refers the case for criminal prosecution.
- Registration and Compliance--whose function is to register securities offerings, dealers, salesmen; to license investment advisers and representatives. The registration and compliance staff reviews investor complaints regarding investment professionals
and their companies, examines registrants and licensees through an investigative review, and initiates an enforcement action when the law is violated.