1300 W. Washington Street

Phoenix, AZ 85007-2996




Main: (602) 542-4242

Toll-Free Number in Arizona:
1-(866) 837-4399

Email: SecuritiesDiv@azcc.gov


Some forms are provided in .PDF format.  If you don't have Acrobat Reader, please visit http://www.adobe.com to download your free copy.

Affidavit of Adviser Activity in Arizona:

  • Document required to be filed in connection with an investment adviser license application.

Fingerprint Card Packet:

  • Fingerprint packet including submission cover sheet, instructions and verification form.

Form ADV:

  • Uniform application form to license as an Investment Adviser.

Form ADV-W:

  • Uniform form used to withdraw or terminate an investment adviser license.

Form BD:

  • Uniform form to register as a dealer.

Form BDW:

  • Uniform form used to withdraw or terminate dealer registration.

Form D:

  • Uniform form used for Regulation D offerings (R14-4-126 in Arizona). Also, used with R14-4-140 exemption and ULOR/SCOR offerings.

Form NF:

  • Uniform form for notice filings by mutual funds and unit investment trusts (investment companies).

Form U-1:

  • Uniform application form for securities registration.

Form U-2:

  • Uniform Consent to Service of Process form.

Form U-2A

  • Uniform Corporate Resolution form.

Form U-4:

  • Uniform form to register as a salesman or to license as an investment adviser representative.

Form U-5 :

  • Uniform form utilized to withdraw/terminate salesman registration or investment adviser representative licensure.

Form U-7:

  • Uniform disclosure document (prospectus) for ULOR/SCOR offerings. May also be utilized for Regulation A offerings.

Form U-10:

  • Uniform examination request form for Non-FINRA Candidates and instructions for submitting form.

Intrastate Crowdfunding Exemption Notice Filing Form

Investor Complaint Form - English:

  • A printable PDF version of the Investor Complaint Form. The online version can be found here.

Public Records Reproduction Request:

  • Form required for obtaining copies of public records and documents.

List Request and Instructions:

  • Form required when requesting a list of firms or individuals registered by the Securities Division.

Stay Connected

Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.

Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances. Have questions about Notices and Agendas, click here for contact information.

Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.

Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007


Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007


Tucson Office (Walk-ins only)

400 W. Congress Street

Tucson, AZ 85701