Securities Division

REGULATORY NOTICES:

(1) Division News – updated Raising Capital brochure available now!  The Division has an overview of securities registrations and certain securities exemptions. Persons interested in raising capital or exploring various capital formation structures can review the brochure HERE.  Please remember to seek independent legal counsel for additional help or questions.  

(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/.

Update: Beginning August 14, 2023, the Division now accepts electronic Reg D Filings made through the NASAA EFD system too. If you prefer to submit your Form D filings through NASAA EFD, you may do so at https://www.efdnasaa.org/.

Podcast Series:

Securities Division staff has recorded an informative podcast series to raise awareness about investment fraud and to provide tips on  prevention.  Visit the Investor Resources section of azinvestor.

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.