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        1300 W. Washington Street

        Phoenix, AZ 85007-2996

         

         

        Main: (602) 542-4242

        Email: SecuritiesDiv@azcc.gov

        Registration of Securities

        Applications for registration will be processed in accordance with A.A.C. R14-4-146.

        Registration by Qualification

        A.R.S. § 44-1891 through § 44-1900A.A.C. R14-4-103 through R14-4-120

        Required Forms:

        Other Documents Required: 

        1. Registration Statement/Prospectus.
        2. Charter/organization documents.
        3. Indenture.
        4. Underwriting agreement.
        5. Opinion of counsel.
        6. Specimen certificate.

        Filing Fees:

        One-tenth of one percent of the aggregate offering price of the securities to be sold in Arizona, with a minimum fee of $200.00 and a maximum fee of $2000.00 [A.R.S. § 44-1892].

        Coordinated Review-Equity:

        Arizona participates in a coordinated state registration procedure for issuers seeking to sell equity securities.  Additional information may be found online at http://www.coordinatedreview.org/cr-equity.html.   

        Issuer Dealer Registration:

        Required if issuer is not offering the securities through a registered dealer.

        ULOR/SCOR

        A.R.S. § 44-1902 and A.A.C. R14-4-134 

        Arizona Uniform Limited Offering Registration allows corporations to raise up to $5 million in any twelve month period through the sales of stock and/or debt to the public in Arizona.  Issuers engaging in these types of offerings generally rely upon Regulation A or Regulation D, Rule 504, at the federal level.

        Required Forms:

        Other Documents Required: 

        1. Charter/organization documents.
        2. Indenture.
        3. Underwriting agreement.
        4. Opinion of counsel.
        5. Specimen certificate.

        Filing Fees:

        $250.00 [A.R.S. §§ 44-1861(N), 44-1902(B)(6), A.A.C. R14-4-134(F)].

        SCOR-West:

        Arizona participates in the SCOR-West program, which provides a uniform state registration procedure designed to coordinate the blue-sky registration process in certain western states.  This program is administered by the Washington State Department of Financial Institutions.  Information regarding this program is available online at http://www.dfi.wa.gov/sd/scorwest.htm

        Issuer Dealer Registration:

        Required if issuer is not offering the securities through a registered dealer.

        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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