Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
  CSS Drop Down Menu by PureCSSMenu.com

REGISTRATION OF SECURITIES
 
Applications for registration will be processed in accordance with A.A.C. R14-4-146.
 
  
REGISTRATION BY QUALIFICATION
 
 
 
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/crequity.html.   
 
Issuer Dealer Registration:  required if issuer is not offering the securities through a registered dealer.
 
 
ULOR/SCOR
 
 
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.
 
 
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.
 
 
 
 

 

Quick Launch...