Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
Statutes/Rules Main Menu
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 - Rules applicable to the administration of the Securities Act of Arizona.
Investment Management Rules - Rules applicable to the administration of the Arizona Investment Management Act.
Proposed Rulemaking/Legislation - Proposed legislation and rulemaking.
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.