Arizona · Regulations
Chapter 4 — Corporation Commission - Securities
57 sections
57 sections
- R14-4-101R14-4-101. Exempt Transactions -- Existing Stockholders and Employees
- R14-4-102R14-4-102. Exempt Transactions -- Restricted Public Offering
- R14-4-103R14-4-103. Advertising and Sales Literature
- R14-4-104R14-4-104. Registration Required of Dealers and Salesmen
- R14-4-105R14-4-105. Promotional Securities; Definitions
- R14-4-106R14-4-106. Options, Warrants, and Rights to Purchase
- R14-4-107R14-4-107. Promoters Equity
- R14-4-108R14-4-108. Sales Commission and Expenses
- R14-4-109R14-4-109. Examination of Prospective Dealers and Salesmen
- R14-4-110R14-4-110. Installment Sales
- R14-4-111R14-4-111. Commissions to Officers and Directors
- R14-4-112R14-4-112. Impoundment of Funds
- R14-4-113R14-4-113. Impound Dates -- Application to Extend
- R14-4-114R14-4-114. Recognized Manuals of Securities
- R14-4-115R14-4-115. Listing of ational Securities Exchanges Registered under the Securities Exchange Act of 1934, As Used in
- R14-4-116R14-4-116. ASAA Statements of Policy
- R14-4-117R14-4-117. Requirement for Registration of a Debt Offering; Definitions
- R14-4-118R14-4-118. Statements Required in Prospectus
- R14-4-119R14-4-119. Additional Registration Requirements for Preferred Stock
- R14-4-120R14-4-120. Financial Statements
- R14-4-121R14-4-121. Limitation on Activities of Securities Salesmen; Definitions
- R14-4-122R14-4-122. Fingerprinting of Salesmen
- R14-4-123R14-4-123. Financial Information Required by Applicants for Exemptions
- R14-4-124R14-4-124. et Worth Requirements for Registration by
- R14-4-125R14-4-125. Commodities Exchanges Recognized for Purposes of A.R.S. § 44-1844(A)(13)
- R14-4-126R14-4-126. Limited Offerings; Definitions
- R14-4-127R14-4-127. Guidelines for Securities Filings Under A.R.S. §
- R14-4-128R14-4-128. Unsolicited Transactions
- R14-4-129R14-4-129. Registration Procedures for Dealers and Salesmen
- R14-4-130R14-4-130. Dishonest and Unethical Conduct
- R14-4-131R14-4-131. Supervision of Salesmen
- R14-4-132R14-4-132. Books and Records of Dealers
- R14-4-133R14-4-133. Definition of Partners and Executive Officers
- R14-4-134R14-4-134. Guidelines for Securities Filings Under A.R.S. §
- R14-4-135R14-4-135. Exempt Securities - Multijurisdictional Disclosure System
- R14-4-136R14-4-136. Exempt Offerings Pursuant to Compensatory Arrangements
- R14-4-137R14-4-137. Exempt Transactions - Securities Issued Pursuant to Court or Governmental Order
- R14-4-138R14-4-138. Foreign Security Exemption
- R14-4-139R14-4-139. Exempt Public Offerings for Qualified Purchasers; Definitions
- R14-4-140R14-4-140. Accredited Investor Exemption
- R14-4-141R14-4-141. Solicitation of Interest Prior to the Filing of the Registration Statement
- R14-4-142R14-4-142. Securities Offerings on the Internet
- R14-4-143R14-4-143. General Dissemination of Information on the Internet
- R14-4-144R14-4-144. Suitability Standards Pursuant to A.R.S. § 44-
- R14-4-145R14-4-145. Exemption for Electronic Venture Capital etworks
- R14-4-146R14-4-146. Processing of Initial and Renewal Applications for the Registration or Exemption of Securities Offerings
- R14-4-147R14-4-147. Processing of Applications for Dealer and Salesman Registration
- R14-4-148R14-4-148. Transactions Effected by Canadian Dealers and Salesmen
- R14-4-149R14-4-149. Exemption from Registration for Offers Made in Connection with a Pending Application
- R14-4-301R14-4-301. Scope
- R14-4-302R14-4-302. Article 3 Definitions
- R14-4-303R14-4-303. Service
- R14-4-304R14-4-304. Rights of Witnesses; Formal Interview; Procedures
- R14-4-305R14-4-305. Answers
- R14-4-306R14-4-306. otices Regarding Hearings
- R14-4-307R14-4-307. Temporary Orders
- R14-4-308R14-4-308. Rescission and Restitution