Securities Division

Dealers/Salesmen

• 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.

Raising Capital Overview

• Overview of registration requirements and exemptions commonly used by issuers offering securities for purposes of raising capital in Arizona.

Registration

• Registration by qualification, CER, ULOR/SCOR, Regional Review.

Exemptions

• Registration exemptions and covered securities filing requirements.

Mutual Funds

• Filing and fee requirements.

Electronic Form D Filing

• 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.
• 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.nasaaefd.org/.

Fees

• Fees required for certain filings in Arizona.