Securities Division's Response to COVID-19: The Arizona Securities Division recognizes the impact that the Coronavirus (Covid-19) has for all stakeholders. The Division is continuously monitoring the situation and we are implementing numerous measures in an attempt to lessen the impact for all involved. To review the actions we have taken, please click HERE. |
REGULATORY NOTICES:
(1) 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.
(2) Dealer Financial Filings: In furthering the Division's goal of reducing paper use and allowing for online filing, the Division now accepts Arizona registered
broker-dealers' annual financial statements electronically. Statements can be sent to the Division's email, SEC-AOD@azcc.gov.
Please submit the statements in PDF format and include the dealer’s name and Arizona file number (if you have it available) in the subject of the email. Should a dealer be unable to provide an electronic copy of its statements, the Corporation
Commission will still accept paper filings mailed to the Arizona Corporation Commission - Securities Division at: 1300 W. Washington St., Phoenix, AZ 85007.
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.