Securities Division, 3rd Floor

Arizona Corporation Commission

1300 W. Washington St.

Phoenix, AZ 85007


Main: (602) 542-4242


Toll-Free Number in Arizona:
1-(866) 837-4399

Ask and Check
Before You Invest!

Toll free in AZ




Frequently Asked Questions (FAQs)
about Securities

The information provided on this website is not comprehensive, is not offered as legal or investment advice, and is not a substitute for competent legal or financial counsel. The Securities Division provides this information to give you an overview of the topics discussed. You should not rely on the accuracy of this information, but should carefully review all applicable statutes and regulations with the assistance of legal counsel.

How do I know if what I am buying or selling is a security?

What happens if I offer or sell an unregistered security?

How do I raise capital in Arizona without registering the investment with the Securities Division?

What is a covered security?

What are the risks of investing in a private placement?

What is a viatical and its risks to investors?

How do I find an attorney to answer my questions about securities?

Where can I get assistance dealing with a corporation in which I own stock?

How do I find out if old stock certificates are worth anything?

How do I find out about a corporation, limited liability company, or its officers?

What should I do if the Commission's Securities Division has issued a temporary cease and desist order against a company in which I am an investor?

How can I find out about a case or an investigation?

What other helpful websites can I visit?

What is the difference between a stockbroker, investment adviser and financial planner?

Stay Connected

Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at 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.

Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007


Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007


Tucson Office (Walk-ins only)

400 W. Congress Street

Tucson, AZ 85701