Licensing and Registration Fees
ARS 44-1861 - Dealer Registration and Renewal Fees - $300
ARS 44-1861 - Salesman Registration and Renewal Fees - $45
ARS 44-1861 - Issuer Dealer Registration and Renewal Fees - $100
ARS 44-1861 - Name Change Fees - $100
ARS 44-1861 - Registration By Description - $200- $2,000
ARS 44-1861 - ULOR/SCOR - $250
ARS 44-1892 - Registration By Qualification - $200 - $2,000
ARS 44-3152 - Private Fund Adviser Exemption - $125
ARS 44-3181 - Investor Adviser License and Renewal Fees - $250
ARS 44-3181 - Investor Adviser Representative License and Renewal Fees - $40
ARS 44-3324 - Mutual Funds - $200 or $3,500
R14-4-126 - Regulation D - $250 Initial Filing Fee, $100 Final Filing Fee
R14-4-140 - Filing Fee - $100
CER Filings - Same as Registration By Qualification
Regulation A Offerings - Same as Registration By Qualification
Registration Quick Links
Registration of Securities
Registration Exemptions
Registration and Licensure Exemptions
Forms
Address:
1300 W. Washington St,
Phoenix, AZ 85007
Phone:
Main:
(602) 542-4242
Toll-Free in AZ:
1-(866) 837-4399
