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Frequently Asked Questions
about Securities
 
View List of FAQs 
View the list of Frequently Asked Questions!

 


 

Grow Your Money Wisely

Click here to Ask and Check BEFORE You Invest!


Ask and Check

Before You Invest!


Q:
  How do I raise capital without registering the investment with the Securities Division?

 
Unless an exemption from registration applies, you must register securities before you even offer them to anyone. “Offer” is a broad concept.  Essentially, you are making an offer any time you are providing someone with information in order to generate an interest in buying. You may not intend to make a sale at the time, but by providing the information, you may be making an offer.
 
Certain types of securities and certain types of securities transactions are exempt from registration requirements. These exemptions typically are based on the quality of the issuer or other types of factors that offer protection to the investors so that the protection afforded through the registration process is not necessary.
 
For a discussion of the exemptions most commonly relied upon to raise capital in Arizona, see Raising Capital

For further information, read the notice filing requirement for the Arizona Intrastate Crowdfunding Exemption.


 The information provided on this website is not comprehensive, is not offered as legal advice, and is not a substitute for competent legal counsel.  The Securities Division provides this information to give you an overview of the topics discussed.   You should not rely on the accuracy of this information, but should carefully review all applicable statutes and regulations with the assistance of legal counsel.