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
Email
SecuritiesDiv@azcc.gov
Ask and Check
Before You Invest!
Investor Resources
Military and their Families
A Salute to Smart Investing
This resource published by the North American Securities Administrators Association (NASAA) and the Investor Protection Trust (IPT) discusses important topics, including scams that target the military, that you need to consider. Some of the major topics featured:
Basic Traini
ng-Saving and Investing
Balancing Risk and Return
The Rules of Engagement
Retirement Planning
Where You Invest
Avoiding Inappropriate Investments
Red Flags-Scams that Target the Military
View the Salute To Smart Investing publication to learn about how you can gain financial readiness.
Financial Field Manual
Personal Finance Guide for Military Families
Since military servicemembers tend to move around more than the typical Americans, they often face financial challenges. This resource discusses important topics servicemembers need to consider and the financial resources available to make the transition to deployment or a return to civilian life as smooth as possible. Topics include:
--Investing in Your Future: Make the Most of Special Saving Plans and New Rules
--Your Military Benefits: Discover All the Advantages and Protections to Which You're Entitled
-- Before and After Deployment: Take Smart Steps to Protect Your Family and Your Finances
--Buying and Selling a Home: Benefit from Special Perks and Resources to Ease Military Moves
--Financial Fraud Watch: Protect Yourself from Scams that Target Servicemembers
--Leaving the Military: Plan a Smooth Transition to Civilian Life with this Checklist
--Financial Resources for Military Families
Visit the Military Saves Resource Center to find helpful info on saving and investing: https://militarysaves.org/resource-center/
Making the Most of Your Military Money
Moving Guide for Military Personnel and Their Families
According to the FINRA Foundation, the difference between a painful move and a positive one often depends on your family’s level of financial and mental
readiness. When duty calls, take the following steps to protect your family and your finances. This resource discusses financial resources available to you as a service member in the U.S. military. Topics include:
When Duty Calls
Save, Save Save
During the Move
After the Move
Helpful Resources
View the FINRA Military Moving Guide here.
Be on Guard Against Affinity Fraud
The evil of "affinity fraud" is that normally savvy or even suspicious people let their guard down when offered an investment by a member of a group to which they belong and with whom they have a common background and interest — whether ethnic,
religious, professional, or the military. Your checkbook is simply more likely to open when the approach is made by a member of your own group or when you hear other members of the group are investing.
Unfortunately, con artists and unscrupulous investment promoters often tout a legitimate or fabricated military affiliation to gain your trust. Before you consider investing, arm yourself with some fraud prevention tips:
Beware of testimonials from other group members. Scam artists frequently pay out high returns to early investors using money from later investors.
Do your homework by getting a prospectus or some form of written information that details the risks in the investment and procedures to get your money out.
Get professional advice from an objective third party not in your group - accountant, attorney, or fee only financial planner - to evaluate the investment.
Contact the base community service office for assistance in learning more about the investment promoter and product.
Read more about how to stop affinity fraud in your military community and a military guide provided the the U.S. Securities and Exchange Commission (SEC), Don’t Make Investment Decisions Based Solely on Celebrity Endorsements
Take Aim at Investing: The Four C's
A knowledgeable investor is the best defense against investment fraud. If you're investing outside of the government-sponsored investment options, don't hand over your money until you have completed the "Four C's":
--Consider your options, including suitability and risk.
--Compare it to other investments.
--Consult with an objective, third party on base, someone who is knowledgeable about finance.
--Call or email the Securities Division's Investigator on Duty to verify license status of the investment salesperson, product and company.
Read more about financial readiness and the basics of saving and investing. Also, check out some financial self-defense guidelines to protect your nest egg.
Most importantly, contact the Securities Division's Investigator on Duty to ask and check before you invest:
TEL: 602-542-0662 or toll free in Arizona,
1-866-VERIFY-9 (837-4399)
EMAIL: SecuritiesDiv@azcc.gov
Stay Connected
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. Have questions about Notices and Agendas, click here for contact information.
Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.