(1) Form CRS: On June 30, 2020 the SEC will require the filing of Form CRS for all federally covered financial advisers, however the Arizona Securities Division does not currently require state registered advisers to file Form CRS with the Division. See the Division’s FAQs page for additional information.
(2) Remote Examinations: The Securities Division’s compliance team is now conducting remote examinations, corresponding with examinees by phone and email, and conducting file transfers
through the Division’s secure online dropbox. A compliance team member will be reaching out to firms selected for a remote exam and providing instructions for the next steps of the exam. If you have received such correspondence from a member
of the compliance team, would like to verify their credentials, or have additional questions or concerns, you can contact the Division’s general email at SEC-AOD@azcc.gov.
(3) Reg D Filings: The Arizona Securities Division now provides electronic filing for Regulation D, Rule 506 notices. Upon completion of the form and payment of all applicable fees, an electronic
submission receipt will be provided. Skip the paper submission process and visit the Division's Rule 506 Form D Filing web page to begin
your filing. NOTE: If you are receiving an error message, please try updating your bookmark to https://efiling.azcc.gov/.