Ariz. Admin. Code tit. 14, ch. 4, art. 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT

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

Preamble: The following rules are hereby adopted by the Arizona Corporation Commission by the authority granted it of Chapter 12, Article 3, Section 44-1821, A.R.S. Such rules supersede all rules heretofore adopted, and from this date shall be generally applicable to the administration of the Securities Act, and the procedure and practice before the Commission, but the Commission may at any time abrogate the application of any particular rule in any specific instance where the Commission may deem it advisable for equitable administration of the law.

The definitions set forth in A.R.S. § 44-1801 shall apply to these rules in the same respect as they apply to the Security Act.

All applicants seeking to register securities by qualification, or who seek exemptions pursuant to A.R.S. §§ 44-1845 or 44-1846 or who seek registration as a dealer or salesman shall comply with the following rules.

Severability: If any provision of these rules be held invalid, such invalidity shall not affect other provisions which can be given effect without the invalid provision and to this end the provisions of these rules are declared to be severable.

Notes

Ariz. Admin. Code tit. 14, ch. 4, art. 1
Former Order S-0; Amended effective July 18, 1985 (Supp. 85-4).

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.

No prior version found.