Securities Division

Securities Fees

Notice of Payment Processing Fee Change
The Office of the State Treasurer has awarded a new merchant services contract to manage the processing of card payments for all Arizona state agencies.

Beginning September 13, 2025, a $2.00 or 2.2% (whichever is greater) processing fee will be charged on all credit and debit card transactions.

eCheck (ACH) payments will remain free of charge.

Additionally, the site will be unavailable for scheduled maintenance from September 12 at 4:00 PM to September 13 at 9:00 AM MST After the maintenance, the new fee structure will be in effect.

 

Licensing and Registration Fees

ARS 44-1861 - Dealer Registration and Renewal Fees - $300

ARS 44-1861 - Salesman Registration and Renewal Fees - $45

ARS 44-1861 - Issuer Dealer Registration and Renewal Fees - $100

ARS 44-1861 - Name Change Fees - $100

ARS 44-1861 - Registration By Description - $200- $2,000

ARS 44-1861 - ULOR/SCOR - $250

ARS 44-1892 - Registration By Qualification - $200 - $2,000

ARS 44-3152 - Private Fund Adviser Exemption - $125

ARS 44-3181 - Investor Adviser License and Renewal Fees - $250

ARS 44-3181 - Investor Adviser Representative License and Renewal Fees - $40

ARS 44-3324 - Mutual Funds - $200 or $3,500

R14-4-126 (pdf) - Regulation D - $250 Initial Filing Fee, $100 Final Filing Fee

R14-4-140 (pdf) - Filing Fee - $100

CER Filings - Same as Registration By Qualification

Regulation A Offerings - Same as Registration By Qualification

Contact the Securities Division

Address:

1300 W. Washington St,
Phoenix, AZ 85007

Phone:

Main:
(602) 542-4242

Toll-Free in AZ:
1-(866) 837-4399

Email:

Securities Enforcement:
SecuritiesDiv@azcc.gov

Registration:
SEC-AOD@azcc.gov