1300 W. Washington Street

Phoenix, AZ 85007-2996

 

 
 

 

Main: (602) 542-4242

Toll-Free Number in Arizona:
1-(866) 837-4399

Email: SecuritiesDiv@azcc.gov

Arizona Dealer
and Salesman Registration Requirements

Applications for registration will be processed in accordance with A.A.C. R14-4-147

Dealer Registration

FINRA Member Dealers:

  1. Form BD submitted through FINRA WebCRD [A.R.S. § 44-1941A.A.C R14-4-129].
  2. $300 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)44-1941(B)].
  3. Audited financial statements [A.R.S. § 44-1941(A)(10)].

Non-FINRA Dealers:

  1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
  2. $300 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
  3. Audited financial statements [A.R.S. § 44-1941(A)(10)].

Issuer Dealers:

  1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
  2. $100 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
  3. Audited financial statements [A.R.S. §§ 44-1941(A)(10)44-1894(9) and (10)].
  4. CPA consent [A.A.C. R14-4-120(D)]. 
  5. Proof of principal examination or equivalent business experience [A.R.S. § 44-1942].

Salesman Registration

FINRA Member Salesman:

  1. Form U-4 submitted through FINRA WebCRD [A.R.S. § 44-1945(A) and A.A.C. R14-4-129]. 
  2. $45 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)].
  3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
  4. Fingerprints [A.R.S. § 44-1945(A)(8) and A.A.C. R14-4-122].  ---> ---> Fingerprint Instructions <---
  5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

Non-FINRA Member and Issuer-Dealer Salesman:

  1. Information required by A.R.S. § 44-1945(A)
  2. $45 registration fee [A.R.S. §§ 44-1861(A)44-1945(A)].  
  3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
  4. Fingerprints [A.R.S. § 44-1945(A)(8) and A.A.C. R14-4-122].  ---> ---> Fingerprint Instructions <---
  5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

Reporting Requirements

FINRA Member Dealers:

  1. Statement of material changes submitted through FINRA WebCRD [A.R.S. § 44-1948(A)].
  2. Annual audited financial statements [A.R.S. § 44-1948(A)].

Non-FINRA and Issuer Dealers:

  1. Statement of material changes [A.R.S. § 44-1948(A)].
  2. Annual audited financial statements [A.R.S. § 44-1948(A)].

Salesman: Statement of material changes [A.R.S. § 44-1948(A)].

Renewal

FINRA Member and Non-FINRA Dealers: $300 annual fee on or before December 31 [A.R.S. § 44-1861(A)].

Issuer Dealers: $100 annual fee on or before December 31 [A.R.S. § 44-1861(B)].

Salesman:

  1. $45 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
  2. Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080]. 

Name Change/Reorganization/Mass Transfer

In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.

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. Have questions about Notices and Agendas, click here for contact information.

Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.

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