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

Registration of Securities

Applications for registration will be processed in accordance with A.A.C. R14-4-146.

Registration by Qualification

A.R.S. § 44-1891 through § 44-1900A.A.C. R14-4-103 through R14-4-120

Required Forms:

Other Documents Required: 

  1. Registration Statement/Prospectus.
  2. Charter/organization documents.
  3. Indenture.
  4. Underwriting agreement.
  5. Opinion of counsel.
  6. Specimen certificate.

Filing Fees:

One-tenth of one percent of the aggregate offering price of the securities to be sold in Arizona, with a minimum fee of $200.00 and a maximum fee of $2000.00 [A.R.S. § 44-1892].

Coordinated Review-Equity:

Arizona participates in a coordinated state registration procedure for issuers seeking to sell equity securities.  Additional information may be found online at http://www.coordinatedreview.org/cr-equity.html.   

Issuer Dealer Registration:

Required if issuer is not offering the securities through a registered dealer.

ULOR/SCOR

A.R.S. § 44-1902 and A.A.C. R14-4-134 

Arizona Uniform Limited Offering Registration allows corporations to raise up to $5 million in any twelve month period through the sales of stock and/or debt to the public in Arizona.  Issuers engaging in these types of offerings generally rely upon Regulation A or Regulation D, Rule 504, at the federal level.

Required Forms:

Other Documents Required: 

  1. Charter/organization documents.
  2. Indenture.
  3. Underwriting agreement.
  4. Opinion of counsel.
  5. Specimen certificate.

Filing Fees:

$250.00 [A.R.S. §§ 44-1861(N), 44-1902(B)(6), A.A.C. R14-4-134(F)].

SCOR-West:

Arizona participates in the SCOR-West program, which provides a uniform state registration procedure designed to coordinate the blue-sky registration process in certain western states.  This program is administered by the Washington State Department of Financial Institutions.  Information regarding this program is available online at http://www.dfi.wa.gov/sd/scorwest.htm

Issuer Dealer Registration:

Required if issuer is not offering the securities through a registered dealer.

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.

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