Arizona Limited Liability Formation by zno11350


Arizona Limited Liability Formation document sample

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        Who we are

 The Securities Division is one of seven divisions
  within the Arizona Corporation Commission.
 The Commission regulates utilities and securities.
  Corporations and limited liability companies file
  formation papers and annual reports with the
 Five elected Commissioners govern the
        What we do
 Oversee the offer and sale of securities and
  investment advice.
 Examine and register dealers, salesmen,
  investment advisers, and investment adviser
 Bring legal actions against persons who violate
  the Arizona Securities Act or Investment
  Management Act.
      Our mission statement
The mission of the Securities Division is to
ensure the integrity of the securities marketplace
through investigative and enforcement actions
and registration and oversight of securities
transactions, dealers, salesmen, investment
advisers, and investment adviser representatives;
to enhance legitimate capital formation; and to
minimize the expense of regulatory compliance
on legitimate business, consistent with vigorous
investor protection.
         How we do what we do

 Educate the public

 Respond to public inquiry

 Take and investigate complaints

 Register and examine people who offer and sell
  securities and investment advisery services
        How we do what we do
 Bring actions on behalf of the state to punish
  persons who violate securities laws and to deter
  future illegal conduct
 Promote legitimate capital formation for
        When to contact us
 To obtain investor education pamphlets and
  brochures or schedule a presentation
 To obtain information about securities offerings
  or types of investment products
 To investigate financial professionals
 To file complaints
 To inquire about the Securities Act or Investment
  Management Act
        How to Contact Us
 Visit our web site at

 E-mail us at

 Visit us at 1300 W. Washington, 3rd Floor,
  Phoenix, Arizona 85007
 Call 602-542-4242 (within Metro Phoenix)

 Call toll-free 1-866-VERIFY-9 (outside Metro
  Phoenix and Arizona)

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