Securities Division

REGULATORY NOTICES:

(1) Remote Examinations: The Securities Division’s compliance team is now conducting remote examinations, corresponding with examinees by phone and email, and conducting file transfers through the Division’s secure online dropbox. A compliance team member will be reaching out to firms selected for a remote exam and providing instructions for the next steps of the exam. If you have received such correspondence from a member of the compliance team, would like to verify their credentials, or have additional questions or concerns, you can contact the Division’s general email at SEC-AOD@azcc.gov.

(2) Reg D Filings: The Arizona Securities Division now provides electronic filing for Regulation D, Rule 506 notices. Upon completion of the form and payment of all applicable fees, an electronic submission receipt will be provided. Skip the paper submission process and visit the Division's Rule 506 Form D Filing web page to begin your filing. NOTE: If you are receiving an error message, please try updating your bookmark to https://efiling.azcc.gov/.

Podcast Series:

• How to Ask & Check BEFORE You Invest
• REAL LIFE REGULATORS: Anatomy of a Fraud Part #1
• REAL LIFE REGULATORS: Anatomy of a Fraud Part #2
• REAL LIFE REGULATORS: Anatomy of a Fraud Part #3

Mission:

The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions as well as the registration and oversight of securities, securities dealers and salespersons, and investment advisers and their representatives; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business.

Disclaimer:

This site is provided as a public service for general informational purposes only; it does not attempt to address specific business transactions or legal disputes. This service is not intended to be legal advice, and should not be construed as a replacement for competent legal counsel.  Although every effort has been made to present the most accurate and current information possible, we cannot and do not warrant that the information on this site is absolutely current and accurate.  Inadvertent mistakes can occur, and laws often change.