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Code · Arizona · Title 44 — State Government

44-1843.02. Special filing requirements for certain exempt or federal covered securities

321 words·~1 min read·/az/title-44/44-1843-02

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

A. Any advertising and sales material, other than the notices required by law to be published or posted, that is used in connection with offers or sales to the public of any of the securities to which section 44-1843.01, subsection A applies shall be filed with the division three business days before its proposed use. The filing required by this section shall be made by the nongovernmental user, dealer or underwriter.
B. Issuers of securities that are described as covered securities in section 18(b)(3) of the securities act of 1933 shall file concurrently with the commission any document filed with the SEC under the securities act of 1933. If the issuer is not a corporation or other entity organized under the laws of this state, the issuer shall file a consent to service of process that complies with section 44-1862. At the time of the issuer's initial filing with the commission, the issuer shall pay a fee of one hundred dollars.
C. Issuers of securities that are described as covered securities in section 18(b)(4)(D) of the securities act of 1933 shall file with the commission not later than fifteen calendar days after the first sale of securities in or from this state one copy of a notice on form D. The notice on form D shall contain a manual or facsimile signature of a person duly authorized by the issuer and is considered filed with the commission on receipt at the commission's Phoenix office or as of the date on which the notice is mailed by United States registered or certified mail to the commission's Phoenix office if the notice is delivered to that office after the date on which the notice is required to be filed.
The issuer shall pay the initial filing fee prescribed in section 44-1861, subsection E.
D. Section 44-1842 applies to federal covered securities transactions unless an exemption is available under another provision of this chapter.
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