Licensing & Registration Info

Dealers/Salesmen

  • Registration and renewal information and links to relevant statutes, rules, forms and exemption information.

Investment Advisers/Representatives

  • License, notice filing and renewal information and links to relevant statutes, rules, forms and exemption information.

Securities Info

Raising Capital Overview

  • Overview of registration requirements and exemptions commonly used by issuers offering securities for purposes of raising capital in Arizona.

Registration

  • Registration by qualification, CER, ULOR/SCOR, Regional Review.

Exemptions

  • Registration exemptions and covered securities filing requirements.

Mutual Funds

  • Filing and fee requirements.

Electronic Form D Filing

  • Online form for submitting Regulation D, Rule 506 initial and amendment filings.
  • Paper filings can still be submitted to the Arizona Corporation Commission - Securities Division at: 1300 W. Washington St., Phoenix, AZ 85007.
  • 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.nasaaefd.org/.

Fees

Fees

  • Fees required for certain filings in Arizona.