The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions as well as the registration and oversight of securities, securities dealers and salespersons, and investment advisers and their representatives; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business.

The Securities Division has a website specifically designed for investors, you can find it here.  The site includes resources and tools to inform investors.

(1) Risk Alert: The Division has issued a risk alert to remind firms of their obligations under the Securities Act of Arizona and the Arizona Investment Management Act to properly register and license all securities salespersons and persons providing investment advisory services. The Risk Alert describes actions taken against firms for unregistered and unlicensed activity. You can read the alert HERE.  

(2) 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/.

Update: Beginning August 14, 2023, the Division now accepts electronic Reg D Filings made through the NASAA EFD system too. If you prefer to submit your Form D filings through NASAA EFD, you may do so at https://www.efdnasaa.org/.

*Disclaimer: This site is provided as a public service for general informational purposes only; it does not attempt to address specific business transactions or legal disputes. This service is not intended to be legal advice, and should not be construed as 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 absolutely current and accurate. Inadvertent mistakes can occur, and laws often change. 

Please scroll down and click the "Book Appointment"  link below to select a date/time for an in-person visit. Please note, you must schedule an appointment prior to your visit.