ARTICLE 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT (Sec. R14-4-101 to Sec. R14-4-149)

  1. Sec. R14-4-101 - Exempt Transactions - Existing Stockholders and Employees
  2. Sec. R14-4-102 - Exempt Transactions - Restricted Public Offering
  3. Sec. R14-4-103 - Advertising and Sales Literature
  4. Sec. R14-4-104 - Registration Required of Dealers and Salesmen otherwise Exempt under A.r.s. Sections 44-1843 and 44-1844
  5. Sec. R14-4-105 - Promotional Securities; Definitions
  6. Sec. R14-4-106 - Options, Warrants, and Rights to Purchase
  7. Sec. R14-4-107 - Promoters Equity
  8. Sec. R14-4-108 - Sales Commission and Expenses
  9. Sec. R14-4-109 - Examination of Prospective Dealers and Salesmen
  10. Sec. R14-4-110 - Installment Sales
  11. Sec. R14-4-111 - Commissions to Officers and Directors
  12. Sec. R14-4-112 - Impoundment of Funds
  13. Sec. R14-4-113 - Impound Dates - Application to Extend
  14. Sec. R14-4-114 - Recognized Manuals of Securities
  15. Sec. R14-4-115 - Listing of National Securities Exchanges Registered under the Securities Exchange Act of 1934, As Used in A.r.s.section 44-1843(a)(7)
  16. Sec. R14-4-116 - Nasaa Statements of Policy
  17. Sec. R14-4-117 - Requirement for Registration of a Debt Offering; Definitions
  18. Sec. R14-4-118 - Statements Required in Prospectus
  19. Sec. R14-4-119 - Additional Registration Requirements for Preferred Stock
  20. Sec. R14-4-120 - Financial Statements
  21. Sec. R14-4-121 - Limitation on Activities of Securities Salesmen; Definitions
  22. Sec. R14-4-122 - Fingerprinting of Salesmen
  23. Sec. R14-4-123 - Financial Information Required by Applicants for Exemptions
  24. Sec. R14-4-124 - Net Worth Requirements for Registration by Description of Commodity Investment Contracts or Commodity Option Contracts
  25. Sec. R14-4-125 - Commodities Exchanges Recognized for Purposes of A.r.s.section ;44-1844(a)(13)
  26. Sec. R14-4-126 - Limited Offerings; Definitions
  27. Sec. R14-4-127 - Guidelines for Securities Filings under A.r.s.section 44-1846
  28. Sec. R14-4-128 - Unsolicited Transactions
  29. Sec. R14-4-129 - Registration Procedures for Dealers and Salesmen
  30. Sec. R14-4-130 - Dishonest and Unethical Conduct
  31. Sec. R14-4-131 - Supervision of Salesmen
  32. Sec. R14-4-132 - Books and Records of Dealers
  33. Sec. R14-4-133 - Definition of Partners and Executive Officers
  34. Sec. R14-4-134 - Guidelines for Securities Filings under A.r.s.section 44-1902
  35. Sec. R14-4-135 - Exempt Securities - Multijurisdictional Disclosure System
  36. Sec. R14-4-136 - Exempt Offerings Pursuant to Compensatory Arrangements
  37. Sec. R14-4-137 - Exempt Transactions - Securities Issued Pursuant to Court or Governmental Order
  38. Sec. R14-4-138 - Foreign Security Exemption
  39. Sec. R14-4-139 - Exempt Public Offerings for Qualified Purchasers; Definitions
  40. Sec. R14-4-140 - Accredited Investor Exemption
  41. Sec. R14-4-141 - Solicitation of Interest Prior to the Filing of the Registration Statement
  42. Sec. R14-4-142 - Securities Offerings on the Internet
  43. Sec. R14-4-143 - General Dissemination of Information on the Internet
  44. Sec. R14-4-144 - Suitability Standards Pursuant to A.r.s.section 44-1845
  45. Sec. R14-4-145 - Exemption for Electronic Venture Capital Networks
  46. Sec. R14-4-146 - Processing of Initial and Renewal Applications for the Registration or Exemption of Securities Offerings
  47. Sec. R14-4-147 - Processing of Applications for Dealer and Salesman Registration
  48. TABLE A - Arizona Corporation Commission Securities Division - Time-frames
  49. Sec. R14-4-148 - Transactions Effected by Canadian Dealers and Salesmen
  50. Sec. R14-4-149 - Exemption from Registration for Offers Made in Connection with a Pending Application

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