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ARIZONA CORPORATION COMMISSION SECURITIES DIVISION

Who we are. The Securities Division is one of seven divisions within the Arizona Corporation Commission.The Commission regulates utilities and securities. Corporations and limited liability companies file formation papers and annual reports with the Commission.Five elected Commissioners govern th

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ARIZONA CORPORATION COMMISSION SECURITIES DIVISION

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    1. ARIZONA CORPORATION COMMISSION SECURITIES DIVISION

    2. Who we are The Securities Division is one of seven divisions within the Arizona Corporation Commission. The Commission regulates utilities and securities. Corporations and limited liability companies file formation papers and annual reports with the Commission. Five elected Commissioners govern the Commission.

    3. What we do Oversee the offer and sale of securities and investment advice. Examine and register dealers, salesmen, investment advisers, and investment adviser representatives. Bring legal actions against persons who violate the Arizona Securities Act or Investment Management Act.

    4. Our mission statement The mission of the Securities Division is to ensure the integrity of the securities marketplace through investigative and enforcement actions and registration and oversight of securities transactions, dealers, salesmen, investment advisers, and investment adviser representatives; to enhance legitimate capital formation; and to minimize the expense of regulatory compliance on legitimate business, consistent with vigorous investor protection.

    5. How we do what we do Educate the public Respond to public inquiry Take and investigate complaints Register and examine people who offer and sell securities and investment advisery services

    6. How we do what we do Bring actions on behalf of the state to punish persons who violate securities laws and to deter future illegal conduct Promote legitimate capital formation for businesses

    7. When to contact us To obtain investor education pamphlets and brochures or schedule a presentation To obtain information about securities offerings or types of investment products To investigate financial professionals To file complaints To inquire about the Securities Act or Investment Management Act

    8. How to Contact Us Visit our web site at www.azinvestor.gov E-mail us at info@azinvestor.gov Visit us at 1300 W. Washington, 3rd Floor, Phoenix, Arizona 85007 Call 602-542-4242 (within Metro Phoenix) Call toll-free 1-866-VERIFY-9 (outside Metro Phoenix and Arizona)

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