Arizona Corporation
Commission

Translate

  • Business Services
    • 10 Steps to Starting a Business
    • ABC (formerly eCorp)
    • FAQs
    • Fees
    • Search for a Business
    • Arizona Business One Stop
  • Consumer Assistance
    • AZ Investor
    • Comment on a Small Business
    • File a Complaint Against a Utility
    • Call Before You Dig (AZ 811)
    • Lobbyist Registration
    • Registered Lobbyist Search
    • Ombudsman-Citizens' Aide ?
    • Report a Railroad Issue
    • Public Records Request
  • Divisions
    • Corporations (Business Services)
    • Hearing
    • Safety
      • Pipeline
      • Railroad
    • Securities
      • AZ Investor
    • Utilities
  • Meetings & Cases
    • Watch Live
    • Today's Events
    • eDocket
    • Calendar
    • Rules for Public Comment (pdf)
    • Make a Public Comment in a Docket
    • Open Meetings Rules of Procedure (pdf)
    • Request to Speak at Open Meeting
    • Arizona Line Siting Committee Calendar
  • About Us
    • Divisions
    • Privacy Policy
    • Substantive Policy Statements
    • News and Updates
    • Transparency
    • Office of General Counsel
    • Arizona Power Plant & Transmission Line Siting Committee
    • Career Opportunities
    • Subpoena Forms
    • FAQs
  • Commissioners
    • Chair Nick Myers
    • Vice Chair Rachel Walden
    • Lea Márquez Peterson
    • Kevin Thompson
    • René Lopez
  • Contact

Securities Division

Securities News

  • Home
  • Complaints & Reporting
  • Enforcement
  • Forms
  • Broker & Adviser Search
  • Licensing & Registration
  • News
Sep 22, 2023
Read Article: Commission Orders More than $7.2 Million in Restitution for Investors Defrauded by Commercial Real Estate Promoters
Sep 22, 2023
Read Article: Commission Finds Mesa Woman Misled Investors about New Medical Device
Sep 22, 2023
Read Article: Chandler Man Admits to Providing Investment Advisory Services without a License
Sep 22, 2023
Read Article: Commission Sanctions Chandler Man and Denies License Application
Aug 25, 2023
Read Article: Scottsdale Man Admits to Scamming His Close Friend and Neighbor
Aug 10, 2023
Read Article: Commission Sanctions Promoters of Phony Crypto Offering
Aug 9, 2023
Read Article: Commission Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors
Aug 2, 2023
Read Article: Commission Helps Precious Metal Investors Recoup Overcharges
Jul 12, 2023
Read Article: Commission Finds Mesa Woman Defrauded Investors with COVID-Related Investment Scam
  • 1
  • 2
  • 3

Helpful Links

Federal Securities Law
No-Action Letters
Policy and Procedural Statements
AZ Investor
Case Information
Specific Securities
FAQs
FINRA
IARD


 

Registration Quick Links

Registration of Securities
Registration Exemptions
Registration and Licensure Exemptions
Forms

Statutes & Rules

Securities Act of Arizona
Investment Management Act
Investment Management Rules (pdf)
Securities Rules (pdf)
Proposed Rulemaking

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

 

Arizona Corporation Commission
Phoenix Office
1300 W. Washington Street
Phoenix, AZ 85007

> Commissioners
> Executive Director
> Legal
> Utilities
> Docket
> Hearings
Arizona Corporation Commission
Phoenix Office
1300 W. Washington Street
Phoenix, AZ 85007

> Administration
> Safety
> Corporations
> Securities
Arizona Corporation Commission
Tucson Office
400 W. Congress Street
Tucson, AZ 85701

> Corporations
> Hearings
> Utilities
Contact
News
Website Feedback
Privacy Policy