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

Shelf Registrations

Effective June 18, 1991, issuers of securities pursuant to Securities and Exchange Commission Rule 415 relating to shelf registrations who desire to register those securities by qualification in Arizona are required to file a single Form U-1 with the Division at the time of filing the initial application with the SEC. Upon completion of the Division’s examination of the filing and resolution of issues raised, and upon SEC effectiveness, an Order of Effectiveness will be issued by the Division. The registration will remain effective for one year from the date of effectiveness and may be renewed upon timely application by the issuer.

The Division’s former policy requiring the separate registration of each “takedown” from the “shelf” is hereby rescinded.

[Policy Statement, Arizona Corporation Commission, Securities Division, 8-22-91.]

This substantive policy statement is advisory only.  A substantive policy statement does not include internal procedural documents that only affect the internal procedures of the agency and does not impose additional requirements or penalties on regulated parties or include confidential information or rules made in accordance with the Arizona administrative procedure act.  If you believe that this substantive policy statement does impose additional requirements or penalties on regulated parties you may petition the agency under section 41-1033, Arizona Revised Statutes, for a review of the statement.

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.Please call 602-542-3931 with any questions.

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