Subject: Domestic corporations and limited liability companies organized under the laws of Arizona

Comment: Filing of articles, amendments, name reservations, mergers, etc. (forms available). Please note: annual reports are required for profit and non-profit corporations.

Subject: Foreign corporations and limited liability companies authorized to transact business in Arizona (organized under jurisdiction outside Arizona). Register names of foreign corporations not transacting business in Arizona.

Comment: Application for registration of Foreign Corporations and Limited Liability Company.

File articles of incorporation in conjunction with Department of Insurance for life insurance companies.

Licensing applications:
www.ccsd.cc.state.az.us/licensing_and_registration/index.asp

Subject: Securities offerings

Comment: Uniform application to register securities
(U-1); uniform consent to service of process (U-2); uniform corporate resolution (U-2A); application for coordinated state review (CER-1), if applicable.

Non-refundable registration fees minimum $200, maximum $2,000. Certain offerings not exceeding $1,000,000 in any 12-month period may utilize the small corporate offerings registration form (U-7), non-refundable $250 registration fee. Non refundable notice fee for open-end investment companies and unit investment trusts (Form NF) minimum $200, maximum $3,500. Non-refundable notice fees for closed-end investment companies (Form NF) minimum $200, maximum $2,000. For private offerings (Regulation D) copy of executed Form D, $250 non-refundable initial application fee.

Subject: Securities dealer registration

Comment: Complete uniform application for broker-dealer registration (Form BD) and file with the NASD (WebCRD). Non-refundable registration fee $300 upon initial registration and annually filed with the NASD. Submit directly to the Securities Division an audit report of an independent certified public accountant together with a balance sheet, related statements of income (loss), stockholders’ equity or retained earnings and cash flows prepared in accordance with generally accepted accounting principles as of the most recent practicable date, unless SEC requirements regarding audited financials have been satisfied. Instruction sheet including all required documents is available. Please contact the Division or access any updated information on the website.

Subject: Securities salesperson registration

Comment: Uniform application for securities industry registration or transfer (Form U-4). Application filed with NASD Central Registration Depository System (WebCRD). Non-refundable fee $40 upon initial registration and annually. Must pass appropriate exams. List of Arizona requirements available.

Subject: Issuer/dealer registration

Comment: Similar to “Securities dealer registration.” Non-refundable fee is $100 and renewals are processed through the division. Instruction sheet available.

Subject: Issuer/dealer salesperson registration

Comment: Issuer/Dealer Salesperson Application filed with Securities Division. Instruction sheet includes requirements.

Subject: Investment adviser licensing (includes financial planners)

Comment: Uniform application for investment adviser registration (Form ADV). Non-refundable initial and annual renewal fee $250. All investment advisors with less than $25 million under management (state IAs) and investment advisers with more than $25 million under management (federal or SEC IAs) must file applications and renewals through the Investment Adviser Registration Depository (IARD). State IAs submit Part II of Form ADV directly to the Securities Division. Information packet, which includes all requirements is available.

Subject: Investment adviser representative licensing

Comment: Uniform application for securities industry registration or transfer (Form U-4). Applications are to be filed and processed directly through the IARD. Non-refundable initial and annual renewal fee $40. Examination and fingerprint requirements. Information packet, which includes all requirements is available.

Subject: Public Utilities Regulation

Comment: Applications for Certificate of Convenience and Necessity, for approval of rates for service, approval of financing and long-term indebtedness, to approve sale of Utility Assets and Transfer of Certificates.