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        1300 W. Washington Street

        Phoenix, AZ 85007-2996

         

         

        Main: (602) 542-4242

        Email: SecuritiesDiv@azcc.gov

        Arizona Dealer
        and Salesman Registration Requirements

        Applications for registration will be processed in accordance with A.A.C. R14-4-147

        Dealer Registration

        FINRA Member Dealers:

        1. Form BD submitted through FINRA WebCRD [A.R.S. § 44-1941A.A.C R14-4-129].
        2. $300 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)44-1941(B)].
        3. Audited financial statements [A.R.S. § 44-1941(A)(10)].

        Non-FINRA Dealers:

        1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
        2. $300 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
        3. Audited financial statements [A.R.S. § 44-1941(A)(10)].

        Issuer Dealers:

        1. Form BD, manually signed and notarized  [A.R.S. § 44-1941(A)].
        2. $100 registration fee [A.R.S. §§ 44-1861(A)44-1941(B)].
        3. Audited financial statements [A.R.S. §§ 44-1941(A)(10)44-1894(9) and (10)].
        4. CPA consent [A.A.C. R14-4-120(D)]. 
        5. Proof of principal examination or equivalent business experience [A.R.S. § 44-1942].

        Salesman Registration

        FINRA Member Salesman:

        1. Form U-4 submitted through FINRA WebCRD [A.R.S. § 44-1945(A) and A.A.C. R14-4-129]. 
        2. $45 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A)].
        3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
        4. Fingerprints [A.R.S. § 44-1945(A)(8) and A.A.C. R14-4-122].  ---> ---> Fingerprint Instructions <---
        5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

        Non-FINRA Member and Issuer-Dealer Salesman:

        1. Information required by A.R.S. § 44-1945(A)
        2. $45 registration fee [A.R.S. §§ 44-1861(A)44-1945(A)].  
        3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
        4. Fingerprints [A.R.S. § 44-1945(A)(8) and A.A.C. R14-4-122].  ---> ---> Fingerprint Instructions <---
        5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].

        Reporting Requirements

        FINRA Member Dealers:

        1. Statement of material changes submitted through FINRA WebCRD [A.R.S. § 44-1948(A)].
        2. Annual audited financial statements [A.R.S. § 44-1948(A)].

        Non-FINRA and Issuer Dealers:

        1. Statement of material changes [A.R.S. § 44-1948(A)].
        2. Annual audited financial statements [A.R.S. § 44-1948(A)].

        Salesman: Statement of material changes [A.R.S. § 44-1948(A)].

        Renewal

        FINRA Member and Non-FINRA Dealers: $300 annual fee on or before December 31 [A.R.S. § 44-1861(A)].

        Issuer Dealers: $100 annual fee on or before December 31 [A.R.S. § 44-1861(B)].

        Salesman:

        1. $45 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
        2. Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080]. 

        Name Change/Reorganization/Mass Transfer

        In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.

        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.

        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

         

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