Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT
- 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