AZ Investor

Our Mission

The goal of AzInvestor is to promote wise investing and fraud prevention. Learn more about the mission of your state securities regulator, including the enforcement of securities and investment management laws, oversight of those who offer and sell investments and provide investment advice, and assistance in legitimate capital formation.

The Securities Division, which is one of eight divisions of the Arizona Corporation Commission, is divided into two major sections each with separate but overlapping responsibilities:

• Enforcement--whose function is to investigate and take action regarding securities violations generally involving individuals and companies who are not licensed to sell securities. The enforcement staff reviews investor complaints gathered from a variety of sources, investigates to determine a course of action, and if warranted, initiates an enforcement action, either seeking administrative and/or civil remedies or referring the case for criminal prosecution.
  
  
• Registration and Compliance--whose function is to register securities, dealers, salesmen and license investment advisers and investment adviser representatives, monitoring their actions through investigative review. The Registration and Compliance staff reviews investor complaints and, if warranted, initiates an enforcement action when the law is violated.

Investor Education Events 

Join Us for Another Boomers to Zoomers Online Educational  Event!

“Investing: A Beginner’s Guide to Getting Started” is the fourth episode of the When I’m 65 Boomers to Zoomers: Building A Secure Path to Retirement Virtual Event Series

 The Arizona Corporation Commission’s Securities Division has partnered with the Investor Protection Trust, Detroit Public Television, and PBS Books to produce “Investing: A Beginner’s Guide to Getting Started” virtual event to livestream on the Corporation Commission’s Facebook page at facebook.com/CorpCommAZon Friday, August 27, 2021 from 10:00-11:00 a.m.

Listen and learn from experts as they discuss the importance of investing. 

About the Commission

The Arizona Corporation Commission is a state regulatory body charged with several important responsibilities.  Read more about the Commission and its elected officials or watch a short video that explains who we are and what we do to protect Arizonans.