1300 W. Washington Street

Phoenix, AZ 85007-2996

 

 
 

 

Main: (602) 542-4242

Toll-Free Number in Arizona:
1-(866) 837-4399

Email: SecuritiesDiv@azcc.gov

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.

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. Have questions about Notices and Agendas, click here for contact information.

Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.

Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007

 

Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007

 

Tucson Office (Walk-ins only)

400 W. Congress Street

Tucson, AZ 85701