Registered issuers—reporting requirement

Division policy regarding reporting requirement of registered securities.
 
All registered issuers are required to file an annual report of sales of securities within 60 days after the registration’s expiration date or termination of the offering, whichever occurs first. The report of sales may be submitted by letter or on Form USR or similar form. If Form USR is issued to report such sales, redemption should not be calculated into the ending balance.
 
[Letter from Corporation Commission to CCH, dated 4-22-85.]
 
 
 
 
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.