Arizona Dealer and Salesman Registration Requirements

Applications for registration will be processed in accordance with A.A.C. R14-4-147

DEALER REGISTRATION

FINRA Member Dealers:

  1. Form BD submitted through FINRA WebCRD [A.R.S. § 44-1941A.A.C R14-4-129].
  2. $300 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)44-1941(B)].
  3. Audited financial statements [A.R.S. § 44-1941(A)(10)].

Non-FINRA Dealers:

  1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
  2. $300 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
  3. Audited financial statements [A.R.S. § 44-1941(A)(10)].

Issuer Dealers:

  1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
  2. $100 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
  3. Audited financial statements [A.R.S. §§ 44-1941(A)(10)44-1894(9) and (10)].
  4. CPA consent [A.A.C. R14-4-120(D)]. 
  5. Proof of principal examination or equivalent business experience [A.R.S. § 44-1942].

SALESMAN REGISTRATION

FINRA Member Salesman:

  1. Form U-4 submitted through FINRA WebCRD [A.R.S. § 44-1945(A) and A.A.C. R14-4-129]. 
  2. $45 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)].
  3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
  4. Fingerprints [A.R.S. § 44-1945(A)(8) and A.A.C. R14-4-122]. ---> ---> Fingerprint Instructions <---
  5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

Non-FINRA Member and Issuer-Dealer Salesman:

  1. Information required by A.R.S. § 44-1945(A)
  2. $45 registration fee [A.R.S. §§ 44-1861(A)44-1945(A)].  
  3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
  4. Fingerprints [A.R.S. § 44-1945(A)(8) and A.A.C. R14-4-122]. ---> ---> Fingerprint Instructions <---
  5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

REPORTING REQUIREMENTS

FINRA Member Dealers:

  1. Statement of material changes submitted through FINRA WebCRD [A.R.S. § 44-1948(A)].
  2. Annual audited financial statements [A.R.S. § 44-1948(A)].

Non-FINRA and Issuer Dealers:

  1. Statement of material changes [A.R.S. § 44-1948(A)].
  2. Annual audited financial statements [A.R.S. § 44-1948(A)].

Salesman: Statement of material changes [A.R.S. § 44-1948(A)].

RENEWAL

FINRA Member and Non-FINRA Dealers: $300 annual fee on or before December 31 [A.R.S. § 44-1861(A)].

Issuer Dealers: $100 annual fee on or before December 31 [A.R.S. § 44-1861(B)].

Salesman:

  1. $45 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
  2. Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080]. 

NAME CHANGE/REORGANIZATION/MASS TRANSFER

In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.

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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