Source: https://www.azcc.gov/divisions/securities/licensing_and_registration/reg-exemptions.asp
Timestamp: 2019-04-23 01:10:36+00:00

Document:
Section 18(b)(2) [investment companies]: A.R.S. §§ 44-3321 through 44-3325.
Section 18(b)(3) [qualified purchasers]: A.R.S. § 44-1843.02(B).
Section 18(b)(4)(C) [municipal securities]: A.R.S. § 44-1843.01(C), with respect to five categories of securities defined in A.R.S. § 44-1843.02(C).
Section 18(b)(4)(D) [Rule 506 compliant offerings]: A.R.S. § 44-1843.02(C).
The following statutes and rules provide exemptions from registration requirements for securities transactions in compliance with the relevant statute or rule. For interpretive guidance, see no-action letters issued by the Securities Division. For additional information regarding exemptions, see Raising Capital.
A.R.S. § 44-1843(A) exempts specified types of securities from securities registration requirements. Self-executing, except that subsection (B) requires that a fee be filed within thirty days after the first sale in Arizona of some of the types of securities. With respect to securities exempt pursuant to A.R.S. § 44-1843(A)(1) (securities issued or guaranteed by governmental agencies), A.R.S. § 44-1843.01(B) imposes additional filing requirements on five categories of securities defined in A.R.S. § 44-1843.01(A).
A.R.S. § 44-1844(A)(21): Regulation D, Rule 504 Sophisticated Investor exemption. Notice filing required. No fee.
A.R.S. § 44-1844(D) provides an exemption for INTRASTATE crowdfunding offerings. Notice filing required. No fee.
Information about INTERSTATE crowdfunding at the federal level may be found on the SEC’s web-site at http://secsearch.sec.gov/search?utf8=%3F&affiliate=secsearch&query=crowdfunding.
A.R.S. § 44-1846 provides a procedure to petition the Corporation Commission for a specific issuer and issue in compliance with A.A.C. R14-4-127. $200.00 fee [A.R.S. § 44-1861(H)].
A.R.S. § 44-1850: viatical or life settlement investment contracts. No fee.
A.A.C. R14-4-101: an issuer aggregate of $500,000 to existing stockholders and employees. See also A.A.C. R14-4-123 for financial information requirements. $100.00 fee [A.A.C. R14-4-101(E)].
A.A.C. R14-4-102: an issuer aggregate of $100,000 to not more than ten persons. See also A.A.C. R14-4-123 for financial information requirements. $100.00 fee [A.A.C. R14-4-102(E)].
A.A.C. R14-4-126: federal Regulation D, rules 505 and 506, equivalent. R14-4-126(F) is the safe harbor for private placements pursuant to A.R.S. § 44-1844(A)(1). $250.00 initial fee; $100.00 final fee [A.A.C. R14-4-126(D)(7)].
A.A.C. R14-4-135: a transation effective with the SEC on Form F-7, F-8, F-9, or F-10. $100.00 fee [A.A.C. R14-4-135(2)].
A.A.C. R14-4-137: securities issued pursuant to a court or governmental order. $100.00 fee [A.R.S. § 44-1861(G)].
A.A.C. R14-4-139: public offerings for qualified purchasers. This exemption is available only for offerings exempt from federal registration pursuant to the intrastate exemption or 17 CFR 230.1001. $100.00 fee [A.A.C. R14-4-139(N)].
A.A.C. R14-4-140: accredited investor offering in compliance with federal Regulation D, rule 504. $100.00 fee [A.A.C. R14-4-140(L)].
A.A.C. R14-4-141: solicitation of interest prior to the filing of a registration statement. $100.00 fee [A.A.C. R14-4-141(B)(3)].
A.A.C. R14-4-148: transactions effected by Canadian dealers and salesmen. $100.00 fee [A.A.C. R14-4-148(F)(3)].
Self-Executing Exemptions: Self-executing exemptions contain no filing or fee requirement.
A.R.S. § 44-1843(A) exempts specified types of securities from securities registration requirements. Self-executing, except as provided in subsection (B) and A.R.S. § 44-1843.01.
A.R.S. § 44-1844(A) exempts specified types of transactions from securities registration requirements.
A.A.C. R14-4-136: an offering that satisfies the requirements of federal rule 701.
A.A.C. R14-4-138: foreign security exemption.
A.A.C. R14-4-149: offers made in connection with a pending application.

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