Form U-1 registration applications

The Division will require that a complete U-1 application be filed for any of the following registrations:
 
a. Qualification: A.R.S. 44-1891
b. Description: A.R.S. 44-1871
c. Additional: A.R.S. 44-1874 and A.R.S. 44-1900
d. Oversale: A.R.S. 44-1861(J).
  
[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.