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Arizona Securities Laws & Regulations

Securities Handbook - This is the handbook the Securities Division of the Arizona Corporation Commission distributes to the public.  It includes the Arizona statutes and rules applicable to securities. 

Securities Act of Arizona - These are the Arizona statutes that: (i) govern the offer and sale of securities from or within Arizona, (ii) require securities dealers and salesmen to be registered, (iii) prohibit fraud, and (iv) provide for the enforcement of the law.

Investment Management Act- This Arizona law regulates investment advisers, financial planning activities, and investment company filings.  It prohibits fraudulent acts and provides for the enforcement of the law.

Securities Rules - The regulations applicable to Arizona securities laws.  These regulations apply to persons seeking to register securities, applicants seeking certain exemptions, and applicants for dealer or salesman registrations.  The regulations also contains rules concerning enforcement procedures.

Investment Management Rules - The regulations that govern the administration of the Investment Management Act.

Proposed Rulemaking/Legislation

Final Rulemaking/Legislation

No-Action Letters - How to request a no-action letter and how to find published no-action letters.

Policy Statements, Procedural Statements, and Interpretive Opinions - Information about the Securities Division's approach to or opinion with respect to the Arizona Securities Act, Investment Management Act, and rules promulgated under both acts.

Caution:  Never make an offer to sell a security or sell a security without consulting a securities law attorney who understands the securities laws, federal and state, that apply to the offer and sale.

Richard Keyt is a business, transactions, contracts, real estate, estate planning and internet law attorney licensed to practice law in Arizona.  He has provided legal services to businesses and people in Arizona since 1980.  Formerly a partner at one of the largest law firms in Arizona, Rick now provides big firm quality legal services at small firm rates.  Rick can be reached by telephone at 602-906-4953, email at  rickkeyt@keytlaw.com and fax at 602-297-6890.  Rick's Arizona law, internet, e-commerce and domain name law web site is KEYTLaw, located at www.keytlaw.com.  Communicating with Richard Keyt via email or otherwise does not cause you to become a client or cause your communications to be confidential or subject to the attorney client privilege.

KEYTLaw does not guaranty that the Arizona Revised Statutes displayed on www.keytlaw.com are current or complete versions of Arizona statutory law.  The statutory information is furnished "as is" and it may not include the current version of the law or new Arizona statutes.  See the Arizona State Legislature's web site for more information about the most recent version of Arizona statutes.

This page was last modified on July 22, 2007.

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