Billboard

About the Commission

The Arizona Corporation Commission is a state regulatory body charged with several important responsibilities.  Read more about the Commission and its elected officials. 

 


 

  Celebrating 100 Years of Serving Arizona Citizens
1912-2012

Contact Us

 
 

Our Mission    


The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions as well as the registration and oversight of securities, securities dealers and salespersons, and investment advisers and their representatives.  Further, the Securities Division provides license status and disciplinary history information about investment promoters upon request and disperses investor education information, including brochures and presentations.

The Securities Division, which is one of eight divisions of the Arizona Corporation Commission, has two primary functions: 

  • Enforcement--whose function is to investigate and take action regarding securities violations generally involving individuals and companies who are not licensed to sell securities.  The enforcement staff reviews investor complaints gathered from a variety of sources, investigates to determine a course of action, and if warranted, initiates an enforcement action, either seeking administrative and/or civil remedies, or refers the case for criminal prosecution. 

     

  • Registration and Compliance--whose function is to register securities offerings,  dealers, salesmen; to license investment advisers and representatives.  The registration and compliance staff reviews investor complaints regarding investment professionals and their companies, examines registrants and licensees through an investigative review, and initiates an enforcement action when the law is violated.