Frequently Asked Questions (FAQs)

about Securities

• How do I know if what I am buying or selling is a security?

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• What happens if I offer or sell an unregistered security? 

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• How do I raise capital in Arizona without registering the investment with the Securities Division?

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• What is a covered security?

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• What are the risks of investing in a private placement?

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• What is a viatical and its risks to investors?  

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• How do I find an attorney to answer my questions about securities?

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• Where can I get assistance dealing with a corporation in which I own stock?  

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• How do I find out if old stock certificates are worth anything? 

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• How do I find out about a corporation, limited liability company, or its officers?  

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• What should I do if the Commission's Securities Division has issued a temporary cease and desist order against a company in which I am an investor?  

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• How can I find out about a case or an investigation?  

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• What other helpful websites can I visit? 

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• What is the difference between a stockbroker, investment adviser and financial planner?

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• How do I contact the Securities Division?    

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.