1300 W. Washington Street
Phoenix, AZ 85007-2996
Applications for registration will be processed in accordance with A.A.C. R14-4-147
FINRA Member Dealers:
Non-FINRA Dealers:
Issuer Dealers:
FINRA Member Salesman:
Non-FINRA Member and Issuer-Dealer Salesman:
FINRA Member Dealers:
Non-FINRA and Issuer Dealers:
Salesman: Statement of material changes [A.R.S. § 44-1948(A)].
FINRA Member and Non-FINRA Dealers: $300 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
Issuer Dealers: $100 annual fee on or before December 31 [A.R.S. § 44-1861(B)].
Salesman:
In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.
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.