Statutes, codes, and regulations
Arizona Administrative Code
Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATIONChapter 4 - Corporation Commission - Securities
Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT
Section R14-4-116 - NASAA Statements of Policy

Ariz. Admin. Code § 14-4-116

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Current through Register Vol. 30, No. 25, June 21, 2024
Section R14-4-116 - NASAA Statements of Policy
A. Unless otherwise provided in A.R.S. Title 44, Chapter 12, Article 7, transactions that fall within one or more of the following North American Securities Administrators Association (NASAA) statements of policy shall comply with the requirements of those statements of policy to qualify for registration or renewal under A.R.S. Title 44, Chapter 12, Article 7. This Section shall not apply to the registration of securities under A.R.S. § 44-1901.
1. Statement of policy regarding loans and other material affiliated transactions, amended November 18, 1997.
2. Registration of asset-backed securities, adopted October 25, 1995; amended May 7, 2007.
3. NASAA mortgage program guidelines, adopted September 10, 1996; amended May 7, 2007.
4. Registration of commodity pool programs, adopted September 21, 1983, effective January 1, 1984; amended and adopted; May 7, 2007.
5. Equipment programs, adopted November 20, 1986; amended April 22, 1988, and May 7, 2007.
6. Registration of oil and gas programs, adopted September 22, 1976; amended October 12, 1977, October 31, 1979, April 23, 1983, July 1, 1984, September 3, 1987, September 14, 1989, October 24, 1991, and May 7, 2007.
7. Statement of policy regarding real estate investment trusts, revised and adopted May 7, 2007.
8. Real estate programs, last revised May 7, 2007.
9. Statement of policy regarding unequal voting rights, adopted and effective October 24, 1991.
10. Omnibus Guidelines, adopted March 29, 1992; amended May 7, 2007.
11. Statement of policy regarding church extension fund securities, adopted April 17, 1994, entitled guidelines for general obligation financing by religious denominations; amended April 18, 2004.
12. Statement of policy regarding church bonds, adopted April 14, 2002.
B. The material listed in subsection (A) is incorporated by reference and on file with the Commission. The incorporated material does not contain later editions or amendments. The material is published in NASAA Reports by Commerce Clearing House, Inc., 4025 W. Peterson Ave., Chicago, IL 60646. Copies are available from NASAA, 750 First St., N.E., Suite 1140, Washington D.C. 20002, and the Commission.

Ariz. Admin. Code § R14-4-116

Former Order S-16. Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 1902, effective May 3, 2000 (Supp. 00-2). Amended by final rulemaking at 9 A.A.R. 3043, effective August 17, 2003 (Supp. 03-2). Amended by final rulemaking at 11 A.A.R. 2025, effective July 4, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 3613 effective October 24, 2008; clertical error of published effective date at 14 A.A.R. 3613 (Supp. 08-3).