1300 W. Washington Street

Phoenix, AZ 85007-2996

 

 

Main: (602) 542-4242

Email: SecuritiesDiv@azcc.gov

Licensing & Registration Info

Dealers/Salesmen

  • Registration and renewal information and links to relevant statutes, rules, forms and exemption information.

Investment Advisers/Representatives

  • License, notice filing and renewal information and links to relevant statutes, rules, forms and exemption information.

Securities Info

Raising Capital Overview

  • Overview of registration requirements and exemptions commonly used by issuers offering securities for purposes of raising capital in Arizona.

Registration

  • Registration by qualification, CER, ULOR/SCOR, Regional Review.

Exemptions

  • Registration exemptions and covered securities filing requirements.

Mutual Funds

  • Filing and fee requirements.

Electronic Form D Filing

  • Online form for submitting Regulation D, Rule 506 initial and amendment filings.
  • Paper filings can still be submitted to the Arizona Corporation Commission - Securities Division at: 1300 W. Washington St., Phoenix, AZ 85007.

Fees Info

Fees

  • Fees required for certain filings in Arizona.

 

Stay Connected


Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007

 

Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007

 

Tucson Office (Walk-ins only)

400 W. Congress Street

Tucson, AZ 85701