Source: https://azcc.gov/divisions/securities/licensing_and_registration/reg-dealer.asp
Timestamp: 2019-04-21 22:12:22+00:00

Document:
1. Form BD submitted through FINRA WebCRD [A.R.S. § 44-1941, A.A.C R14-4-129].
2. $300 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A), 44-1941(B)].
3. Audited financial statements [A.R.S. § 44-1941(A)(10)].
1. Form BD, manually signed and notarized [A.R.S. § 44-1941(A)].
2. $300 registration fee [A.R.S. §§ 44-1861(A), 44-1941(B)].
2. $100 registration fee [A.R.S. §§ 44-1861(A), 44-1941(B)].
3. Audited financial statements [A.R.S. §§ 44-1941(A)(10), 44-1894(9) and (10)].
4. CPA consent [A.A.C. R14-4-120(D)].
5. Proof of principal examination or equivalent business experience [A.R.S. § 44-1942].
1. Form U-4 submitted through FINRA WebCRD [A.R.S. § 44-1945(A) and A.A.C. R14-4-129].
2. $45 registration fee submitted through FINRA WebCRD [A.R.S. §§ 44-1861(A), 44-1945(A)].
3. Proof of passage of required examinations [A.R.S. § 44-1942 and A.A.C. R14-4-109].
5. Proof of lawful presence for Arizona residents and non-Arizona residents who do not have an equivalent license issued by another state [A.R.S. § 41-1080].
1. Information required by A.R.S. § 44-1945(A).
2. $45 registration fee [A.R.S. §§ 44-1861(A), 44-1945(A)].
1. Statement of material changes submitted through FINRA WebCRD [A.R.S. § 44-1948(A)].
2. Annual audited financial statements [A.R.S. § 44-1948(A)].
1. Statement of material changes [A.R.S. § 44-1948(A)].
Salesman: Statement of material changes [A.R.S. § 44-1948(A)].
FINRA Member and Non-FINRA Dealers: $300 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
Issuer Dealers: $100 annual fee on or before December 31 [A.R.S. § 44-1861(B)].
1. $45 annual fee on or before December 31 [A.R.S. § 44-1861(A)].
2. Proof of lawful presence if documentation has not previously been presented to the Securities Division [A.R.S. § 41-1080].
In the event of a name change, reorganization, or mass transfer, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.

References: § 44
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 § 41
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 § 41