1300 W. Washington Street

Phoenix, AZ 85007-2996

 

 

Main: (602) 542-4242

Email: SecuritiesDiv@azcc.gov

Frequently Asked Questions (FAQs)


What happens if I offer or sell an unregistered security?


How do I know if what I am buying or selling is a security?


When can I offer a security without registering the transaction with the Securities Division?


What is a covered security?


What is a private placement?


How do I find an attorney to answer my questions about securities?


Where can I get assistance with dealing with a corporation in which I own stock?


How do I find out if old stock certificates are worth anything?


Does the Securities Division require investment advisers to file Form CRS?


How can I find out about a case?


Helpful Links:

This site is provided as a public service for general informational purposes only, and it does not attempt to address any specific business transactions or legal disputes. This service is not intended to be legal advice, and should not be construed as a replacement for competent legal counsel. Although every effort has been made to present the most accurate and current information possible, we cannot and do not warrant that the information on this site is absolutely current and accurate. Inadvertent mistakes can occur, and laws often change.


The information provided on this web site is not comprehensive, is not offered as legal advice, and is not a substitute for competent legal counsel. The Securities Division provides this information to give you an overview of the topics discussed. You should not rely on the accuracy of this information, but should carefully review all applicable statutes and regulations with the assistance of legal counsel.

The information provided on this web site is not comprehensive, is not offered as legal advice, and is not a substitute for competent legal counsel. The Securities Division recommends that you consult with a securities attorney.

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Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007

 

Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007

 

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400 W. Congress Street

Tucson, AZ 85701