1300 W. Washington Street
Phoenix, AZ 85007-2996
Main: (602) 542-4242
Email: SecuritiesDiv@azcc.gov
Licensing & Registration Info
- 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.
- Fingerprint packet including submission cover sheet, instructions and verification form.
Securities Info
- Overview of registration requirements and exemptions commonly used by issuers offering securities for purposes of raising capital in Arizona.
- Registration by qualification, CER, ULOR/SCOR, Regional Review.
- Registration exemptions and covered securities filing requirements.
- Filing and fee requirements.
- 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.
Stay Connected
Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.
Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances.Please call 602-542-3931 with any questions.
Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.