Arizona Administrative Code
Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION
Chapter 4 - Corporation Commission - Securities
Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT
- Section R14-4-101 - Exempt Transactions - Existing Stockholders and Employees
- Section R14-4-102 - Exempt Transactions - Restricted Public Offering
- Section R14-4-103 - Advertising and Sales Literature
- Section R14-4-104 - Registration Required of Dealers and Salesmen otherwise Exempt under A.R.S. Sections 44-1843 and 44-1844
- Section R14-4-105 - Promotional Securities; Definitions
- Section R14-4-106 - Options, Warrants, and Rights to Purchase
- Section R14-4-107 - Promoters Equity
- Section R14-4-108 - Sales Commission and Expenses
- Section R14-4-109 - Examination of Prospective Dealers and Salesmen
- Section R14-4-110 - Installment Sales
- Section R14-4-111 - Commissions to Officers and Directors
- Section R14-4-112 - Impoundment of Funds
- Section R14-4-113 - Impound Dates - Application to Extend
- Section R14-4-114 - Recognized Manuals of Securities
- Section 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)
- Section R14-4-116 - NASAA Statements of Policy
- Section R14-4-117 - Requirement for Registration of a Debt Offering; Definitions
- Section R14-4-118 - Statements Required in Prospectus
- Section R14-4-119 - Additional Registration Requirements for Preferred Stock
- Section R14-4-120 - Financial Statements
- Section R14-4-121 - Limitation on Activities of Securities Salesmen; Definitions
- Section R14-4-122 - Fingerprinting of Salesmen
- Section R14-4-123 - Financial Information Required by Applicants for Exemptions
- Section R14-4-124 - Net Worth Requirements for Registration by Description of Commodity Investment Contracts or Commodity Option Contracts
- Section R14-4-125 - Commodities Exchanges Recognized for Purposes of A.R.S. Section 44-1844(A)(13)
- Section R14-4-126 - Limited Offerings; Definitions
- Section R14-4-127 - Guidelines for Securities Filings Under A.R.S. Section 44-1846
- Section R14-4-128 - Unsolicited Transactions
- Section R14-4-129 - Registration Procedures for Dealers and Salesmen
- Section R14-4-130 - Dishonest and Unethical Conduct
- Section R14-4-131 - Supervision of Salesmen
- Section R14-4-132 - Books and Records of Dealers
- Section R14-4-133 - Definition of Partners and Executive Officers
- Section R14-4-134 - Guidelines for Securities Filings Under A.R.S. Section 44-1902
- Section R14-4-135 - Exempt Securities - Multijurisdictional Disclosure System
- Section R14-4-136 - Exempt Offerings Pursuant to Compensatory Arrangements
- Section R14-4-137 - Exempt Transactions - Securities Issued Pursuant to Court or Governmental Order
- Section R14-4-138 - Foreign Security Exemption
- Section R14-4-139 - Exempt Public Offerings for Qualified Purchasers; Definitions
- Section R14-4-140 - Accredited Investor Exemption
- Section R14-4-141 - Solicitation of Interest Prior to the Filing of the Registration Statement
- Section R14-4-142 - Securities Offerings on the Internet
- Section R14-4-143 - General Dissemination of Information on the Internet
- Section R14-4-144 - Suitability Standards Pursuant to A.R.S. Section 44-1845
- Section R14-4-145 - Exemption for Electronic Venture Capital Networks
- Section R14-4-146 - Processing of Initial and Renewal Applications for the Registration or Exemption of Securities Offerings
- Section R14-4-147 - Processing of Applications for Dealer and Salesman Registration
- Table A - Arizona Corporation Commission Securities Division - Time-frames
- Section R14-4-148 - Transactions Effected by Canadian Dealers and Salesmen
- Section 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.
