1300 W. Washington Street
Phoenix, AZ 85007-2996
Main: (602) 542-4242
Email: SecuritiesDiv@azcc.gov
No-Action Letters
Statement | Summary of Policy | Date |
Statement of procedure regarding certain Securities Division’s time-frame rules | July 16, 1998 | |
Shelf registrations | August 22, 1991 | |
Guarantees/letters of credit | January 21, 1991 | |
Form U-1 registration applications | April 3, 1987 | |
Advertising materials | April 3, 1987 | |
1985 amendments to Rules R14-4-101—103 of the Securities Division | Winter 1986 | |
Registered issuers—reporting requirement | April 22, 1985 | |
Zero coupon bonds | Spring 1985 | |
NASAA Statements of Policy | November 27, 1984 | |
Sales of commodities—what constitutes security | Fall 1983 | |
Inquiries concerning pending registrations and no-action requests | September 18, 1981 | |
Applications to register convertible securities, assessment options, warrants, or other rights to subscribe to securities | n/a |
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