Advertising materials

Advertising materials submitted for review will not be acknowledged unless accompanied by a self addressed stamped envelope along with a copy of the cover letter to be date stamped and returned. If the Division finds the advertising non-compliant with A.A.C. R14-4-103, a letter will be sent to the Issuer within three business days of receipt of the advertising. Such letter will indicate the areas of non-compliance which must be corrected before the materials may be utilized in Arizona.
[Policy Statement, Arizona Corporation Commission, Securities Division, 4-3-87.]
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.