Some forms are provided in .PDF format.  If you don't have Acrobat Reader, please visit http://www.adobe.com to download your free copy.

Affidavit of Adviser Activity in Arizona (pdf):

  • Document required to be filed in connection with an investment adviser license application.

AZ Securities Fingerprinting Instructions (pdf):

  • Important Notice: Electronic Fingerprint Submissions Temporarily Unavailable - The Arizona Department of Public Safety is unable to process electronic fingerprints between November 1st through November 30th, 2026, due to system maintenance. If you are applying for licensure or registration, please submit fingerprint cards and payment directly to the Arizona Corporation Commission Securities Division using this form and physical fingerprint card packet. For additional questions, email prints@azcc.gov.

Form ADV:

  • Uniform application form to license as an Investment Adviser.

Form ADV-W:

  • Uniform form used to withdraw or terminate an investment adviser license.

Form BD:

  • Uniform form to register as a dealer.

Form BDW:

  • Uniform form used to withdraw or terminate dealer registration.

Dual Agent Form (pdf):

  • Sample dual agent employment agreement and undertaking form.

Form D:

  • Uniform form used for Regulation D offerings (R14-4-126 in Arizona). Also, used with R14-4-140 exemption and ULOR/SCOR offerings.

Form NF:

  • Uniform form for notice filings by mutual funds and unit investment trusts (investment companies).

Form U-1:

  • Uniform application form for securities registration.

Form U-2:

  • Uniform Consent to Service of Process form.

Form U-2A

  • Uniform Corporate Resolution form.

Form U-4:

  • Uniform form to register as a salesman or to license as an investment adviser representative.

Form U-5 :

  • Uniform form utilized to withdraw/terminate salesman registration or investment adviser representative licensure.

Form U-7:

  • Uniform disclosure document (prospectus) for ULOR/SCOR offerings. May also be utilized for Regulation A offerings.

Intrastate Crowdfunding Exemption Notice Filing Form (pdf)

Investor Complaint Form - English:

Public Records Reproduction Request (pdf):

  • Form required for obtaining copies of public records and documents.

List Request and Instructions (pdf):

  • Form required when requesting a list of firms or individuals registered by the Securities Division.