1300 W. Washington Street
Phoenix, AZ 85007-2996
Main: (602) 542-4242
Email: SecuritiesDiv@azcc.gov
Statutes/Rules Info
- 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.
- 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
- Rules applicable to the administration of the Arizona Investment Management Act.
- Rules applicable to the administration of the Securities Act of Arizona.
Proposed Rulemaking/Legislation
- Proposed legislation and rulemaking.
Other Information
- Legislation and rules that govern the securities and financial advisory industries at the federal level.
- 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.
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.Please call 602-542-3931 with any questions.
Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.