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
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REGULATORY NOTICES:
(1) Form CRS: On June 30, 2020 the SEC will require the filing of Form CRS for all federally covered financial advisers, however the Arizona Securities Division does not
currently require state registered advisers to file Form CRS with the Division. See the Division’s FAQs page for additional information.
(2) 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.
(3) 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.
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.