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.

AZ Investor

The Securities Division has a website specifically designed for investors, you can find it here.  The site includes resources and tools to inform investors.

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AI Investment Scams Flyers (Spanish and English) (pdf)
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Crypto ETFs Flyers (pdf)
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Crypto Recovery Room Scams Flyers (pdf)
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Fraud_Victim_Empowerment_FINRA.pdf (English and Spanish) (pdf)
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Pig Butchering - Romance Flyers (pdf)
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Red Flags to Lookout For Flyer (Spanish and English) (pdf)

Regulatory Notices

(1) Electronic Filings - Beginning August 3, 2026, the Arizona Corporation Commission Securities Division will accept mutual fund notice filings through the North American Securities Administrators Association's Electronic Filing Depository (EFD). EFD provides investment companies and authorized filing representatives with a secure, centralized online system for submitting mutual fund notice filings, paying filing fees electronically, and managing renewals across participating jurisdictions.  Regulation D, Rule 506 filings may also be filed through the EFD.

To submit a mutual fund or Reg D 506 filing through NASAA EFD, visit https://www.nasaaefd.org/. 

(2) Compliance Alert - The Arizona Corporation Commission Securities Division reminds firms and individuals that Arizona law generally requires registration before conducting securities or investment advisory business within or from Arizona.

Recent enforcement actions (Here) have involved:

  • Individuals relocating to Arizona and continuing business before becoming properly registered.
  • Firms allow representatives to conduct business before registration approval.
  • Applicants who continued business while registration deficiencies remained unresolved.
  • Issuers offering securities without satisfying Arizona registration or exemption requirements.  

Before conducting securities business in Arizona, firms should verify that Broker-dealers and agents are properly registered; Investment advisers and investment adviser representatives properly licensed; Securities offerings are registered or qualify for an exemption; and supervisory procedures identify changes in employee or client addresses.

 

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