1300 W. Washington Street
Phoenix, AZ 85007-2996
Toll free in AZ
The goal of AzInvestor is to promote wise investing and fraud prevention. Learn 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, is divided into two major sections each with separate but overlapping responsibilities:
Enforcement: The 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 referring the case for criminal prosecution.
Registration and Compliance: The function is to register securities, dealers, salesmen and license investment advisers and investment adviser representatives, monitoring their actions through investigative review. The Registration and Compliance staff reviews investor complaints and, if warranted, initiates an enforcement action when the law is violated.
Financial literacy can be a source of stress,
fear and worry for many Americans. The best way to achieve confidence in your
personal handling of money management is by learning how to make smart and
secure financial choices every day. Watch and listen to a series of one-hour, virtual series at pbsbooks.org/When-I’m-65 or facebook@AZCorpComm with Investor Protection Trust (IPT)and PBS
Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.
Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances.Please call 602-542-3931 with any questions.
Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.