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.

About Our Division:

The Securities Division strives to ensure the integrity of the securities 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 to minimize the burden and expense of regulatory compliance by legitimate business. 

The Division reviews prospective offerings of securities to ascertain that full and fair disclosure is made to potential securities investors and that the terms of offerings are not inherently fraudulent.

Certain securities dealers, salespersons, investment advisers, and investment adviser representatives are required to register with the Division. The Division reviews these applications and monitors the conduct of investment advisers, dealers, and salespersons; investigates possible violations; and, when the evidence warrants, initiates administrative, civil, or criminal enforcement actions.

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.