Applications for registration will be processed in accordance with A.A.C. R14-4-147
FINRA Member Dealers:
FINRA Member Salesman:
Non-FINRA Member and Issuer-Dealer Salesman:
Non-FINRA and Issuer Dealers:
Salesman: Statement of material changes [A.R.S. § 44-1948(A)].
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)].
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.
Dealer and Salesman Registration Exemptions
Arizona Corporation Commission
1200 W. Washington Street
Phoenix, AZ 85007
1300 W. Washington Street
Tucson Office (Walk-ins only)
400 W. Congress Street
Tucson, AZ 85701