AZ Investor

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: The 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: The 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 Event

Financial literacy can be a source of stress, fear and worry for many Americans. The best way to achieve confidence in your personal handling of money management is by learning how to make smart and secure financial choices every day. Watch and listen to a series of one-hour, virtual series at  pbsbooks.org/When-I’m-65 or [email protected] with Investor Protection Trust (IPT)and PBS Books.

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.