Securities Division

Statutes/Rules Info

Securities Act of Arizona

• Governs the sale or offer for sale of securities within or from Arizona, requires registration of dealers and salesmen, prohibits fraudulent activity, and provides for enforcement of the Act. 

Investment Management Act

• Governs investment advisers, investment advisory activities, and investment company (mutual fund) filings. This Act also prohibits fraudulent activity and provides for enforcement of the Act. 

Securities Rules

Investment Management Rules

• Rules applicable to the administration of the Arizona Investment Management Act.

Securities Rules

• Rules applicable to the administration of the Securities Act of Arizona.

Proposed Rulemaking/Legislation

• Proposed legislation and rulemaking.

Other Information

Federal Securities Law

• Legislation and rules that govern the securities and financial advisory industries at the federal level.

No-Action Letters

• Information on how to request a no-action letter and where to locate published no-action letters.

Policy and Procedural Statements

• Corporation Commission policy and procedural statements regarding the Securities and Investment Management Acts.