FAQs LINKS
QUESTIONS AND ANSWERS ABOUT THE SECURITIES DIVISION

Q: How does the Securities Division Protect Arizona investors?

Q: Where do I get information about a securities salesman or dealer? 

Q: Where do I find out if the securities I’m interested in are registered?

Q: Where do I call to get information on a corporation? 

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 How does the Securities Division protect Arizona investors?
A: The Securities Division, one of the eight divisions of the Arizona Corporation Commission, is responsible for regulating the securities industry in the state of Arizona. One of its main functions is to oversee the firms and individuals that engage in the offer and sale of securities to the public. Securities can take many forms, including stocks, notes, bonds, some partnership interests, variable annuities, viatical settlement interests, among many others. We also oversee the individuals and entities that provide investment advice for compensation.

The Securities Division brings actions seeking to enforce the Arizona Securities Act, including provisions that prohibit sales of non-registered and non-exempt securities, sales by non-registered dealers and salesmen, and fraudulent securities transactions. The Division also brings actions seeking to enforce the Arizona Investment Management Act, including its provisions prohibiting unlicensed individuals or entities from giving investment advice for compensation and its prohibitions against fraudulent activities.

The Division provides information regarding registered or licensed individuals and entities, and regarding securities that are registered for sale in Arizona. It also provides extensive investor information and education materials.

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 Where do I get information about a securities salesman/dealer?
A: To verify that a securities salesman or dealer is registered to offer or sell securities, call the Duty Officer at (602) 542-0662 or click on the BrokerCheck box at the left screen menu (service provided by FINRA, the Financial Industry Regulatory Authority).

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 Where do I find out whether the securities I’m interested in are registered?
A: To verify that securities are registered in Arizona, call the Duty Officer at (602) 542-0662 or send an email inquiry to info@azinvestor.gov.

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 Where do I call to get information on a corporation?
A: For information on corporate status, you should contact the Corporations Division at (602) 542-3026. For information on whether the corporation has registered to offer and sell its stock in Arizona, call the Duty Officer at (602) 542-0662.

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