reglab/housing_qa huggingface dataset:
AZ Rev Stat § 44-1893 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1893 - Application for registration of securities by qualification; contents; accompanying documents; signature and verification

44-1893.  Application for registration of securities by qualification;  contents;  accompanying documents;  signature and verification A. The application for registration of securities by qualification as required under sections 44-1892 and 44-1901 shall include the following,  together with other information the commission prescribes: 1. Name and address of issuer,  and address of issuer's principal office in this state,  if any. 2. Title or descriptive name of securities to be registered and total amount of each class of such securities to be offered in this state and elsewhere. 3. Amount of each class of securities to be offered in this state,  offering price per unit and in the aggregate,  and the amount of the registration fee. 4. If a registration statement as to the securities has been filed under the securities act of 1933,  the date on which the registration statement was filed to register the securities under that act,  and the effective date of the registration statement,  if effective. 5. Eligibility of securities for sale in the following states as of the date of application: (a) States in which it is proposed to offer the securities for sale to the public. (b) States,  if any,  in which the securities are eligible for sale to the public. (c) States,  if any,  which have refused,  by order or otherwise,  to authorize the sale of securities to the public,  or have revoked or suspended the right to sell the securities,  or in which an application for qualification has been withdrawn. B. There shall be submitted as part of the application for registration of securities by qualification a copy of: 1. The issuer's charter or other instrument of organization and bylaws,  together with all amendments thereto. 2. The indenture and all supplements thereto under which the securities are to be issued. 3. The basic underwriting agreement,  if any,  and any agreement or agreements among underwriters and dealers pertaining to the distribution of the securities within this state. 4. The opinion of counsel as to the validity of issuance of the securities. 5. A specimen certificate of each security to be registered. C. Any of the documents required by subsection B of this section may be submitted in preliminary form whereupon a definitive copy of each shall be filed promptly after execution. D. The application for registration of securities by qualification shall be signed and verified under oath by the issuer. If the issuer is a corporation,  trust or other unincorporated association,  the application shall be signed by its principal executive officers,  and shall be accompanied by a certified copy of a resolution approved by the requisite majority of the board of directors or other governing body.
AZ Rev Stat § 44-1895 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1895 - Preparation of required financial statements

44-1895.  Preparation of required financial statements Financial statements required under this article for registration of securities by qualification shall be: 1. Prepared in conformity with generally accepted accounting principles.  2. Examined in accordance with generally accepted auditing standards. 3. If reporting is necessary,  reported on by an independent certified public accountant.
AZ Rev Stat § 44-1896 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1896 - Substitution of prospectus filed under or complying with standards of form prescribed by or under securities act of 1933 for prospectus required by sections 44-1892 and 44-1894

44-1896.  Substitution of prospectus filed under or complying with standards of form prescribed by or under securities act of 1933 for prospectus required by sections 44-1892 and 44-1894 A. If the securities being registered by qualification have been or are to be registered under the securities act of 1933,  there may be filed in lieu of the prospectus prescribed in section 44-1894 the definitive prospectus of the issuer filed under the securities act of 1933,  if dated within thirty days of the application for registration under section 44-1892. B. A prospectus or an offering circular,  the standards of form or content of which are prescribed by any provision of the securities act of 1933,  or rules and regulations promulgated thereunder,  may be accepted as a prospectus in lieu of that prescribed by section 44-1894 in connection with an application for registration,  the registration or the renewal of registration of securities by qualification,  but the director shall determine that the nature and scope of the information disclosed in respect to any issuer is substantially equivalent in informative value to that prescribed under section 44-1894.
AZ Rev Stat § 44-1897 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1897 - Amendment or withdrawal of application, prospectus or other documents

44-1897.  Amendment or withdrawal of application,  prospectus or other documents In the absence of proceedings under section 44-1901 or article 8 of this chapter for denial,  suspension or revocation of the registration of the securities,  or with the consent of the commission after the institution of such proceedings,  an applicant may at any time amend or withdraw an application for registration,  prospectus,  financial statement or other exhibit filed with the commission. Any document withdrawn shall be marked as withdrawn but retained among the records of the commission.
AZ Rev Stat § 44-1898 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1898 - Registration in securities register of securities complying with requirements for registration by qualification; sale of registered securities authorized; delivery of prospectus to purchasers

44-1898.  Registration in securities register of securities complying with requirements for registration by qualification;  sale of registered securities authorized;  delivery of prospectus to purchasers A. Except as provided in section 44-1901,  the director shall within a reasonable time examine an application for registration of securities by qualification and all documents and exhibits filed therewith. When an applicant has fully complied with the provisions of this article relating to registration by qualification,  and the rules of the commission thereunder,  the director shall register the securities in a register of securities,  subject to the limitations and conditions imposed by the commission in accordance with this chapter,  unless the commission finds cause for denial as provided in section 44-1901 or article 8 of this chapter. B. The director shall,  by mail,  give notice to the issuer of the effective date of registration. C. After such registration,  the securities may be sold by any registered dealer or by any registered salesman employed by a registered dealer. D. There shall be delivered to each purchaser of securities registered by qualification,  before the conclusion of any contract of sale of such securities,  a copy of the prospectus meeting the requirements of section 44-1894,  44-1896,  44-1899 or 44-1901 if the prospectus is used more than one year from the effective date of registration of the securities.
AZ Rev Stat § 44-1899 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1899 - Renewal of registration by qualification

44-1899.  Renewal of registration by qualification Registration by qualification under this article shall be effective for a period of one year and may be renewed for additional periods of one year by filing,  by a date not later than fifteen days prior to expiration of the registration,  of a prospectus meeting the requirements of section 44-1894 or 44-1901 and containing information as of a date not more than ninety days before the date of filing,  together with the payment of a fee computed pursuant to section 44-1892,  paragraph 3.
AZ Rev Stat § 44-1900 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1900 - Registration of additional securities by qualification

44-1900.  Registration of additional securities by qualification Additional amounts of securities registered by qualification under this article may with the consent of the commission be registered by payment of an additional registration fee,  which shall be computed as provided in paragraph 3 of section 44-1892 as a separate fee for each additional amount registered.
AZ Rev Stat § 44-1902 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1902 - Power of the commission to register certain securities by uniform limited offering registration

44-1902.  Power of the commission to register certain securities by uniform limited offering registration A. In accordance with rules adopted by the commission,  the commission may register under this article certain securities in an aggregate amount not exceeding five million dollars in any twelve month period. B. The rules adopted by the commission pursuant to subsection A of this section shall include: 1. That the issuer shall submit a completed small company offering registration form as adopted by the North American securities administrators association,  inc.,  or other disclosure document as prescribed by the commission. 2. That the offering is not a blind pool offering. 3. That the issuer is not an investment company subject to the investment company act of 1940. 4. That the issuer is not subject to the reporting requirements of section 13 or section 15(d) of the securities exchange act of 1934. 5. That the issuer of debt offerings can demonstrate ability to service its debt. 6. That the application for a uniform limited offering registration is accompanied by a nonrefundable fee as provided in section 44-1861. 7. That financial statements and other financial information,  if any,  required for registration shall be prepared in the manner prescribed in the rules adopted by the commission pursuant to subsection A of this section,  notwithstanding any other provision of this chapter.
AZ Rev Stat § 44-1921 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1921 - Denial of registration by qualification

44-1921.  Denial of registration by qualification Except as provided in section 44-1901,  the commission may enter an order denying the registration of any securities to be registered by qualification,  if,  after a hearing or notice and opportunity for hearing as provided by article 11 of this chapter,  it finds that: 1. The application for registration,  prospectus,  any financial statement,  or any document or exhibit filed with the application,  or any amendment or supplement thereto,  is incomplete,  inaccurate or misleading,  or the information contained therein is insufficient for a true appraisal of the securities. 2. The issuer or any dealer or salesman designated to engage in the sale of the securities has violated any provision of this chapter,  or any rule or order of the commission thereunder. 3. The sale of the securities works or would tend to work a fraud or deceit upon the purchasers thereof,  or is or would be unfair or inequitable to the purchasers. 4. The issuer is insolvent,  or is in an unsound financial condition. 5. The issuer has refused to permit the commission to examine its affairs,  or has failed or refused to furnish information required by this chapter,  or any rule or order of the commission thereunder. 6. The issuer,  any officer or director of the issuer,  if a corporation or unincorporated association,  any trustee or other fiduciary of the issuer,  if a trust,  any partner of the issuer,  if a partnership,  or any person controlling,  controlled by or under common control with the issuer: (a) Has been convicted within five years preceding the filing of the application for registration of securities,  or at any time thereafter,  of a felony or misdemeanor involving a transaction in securities,  or of which fraud is an essential element. (b) Is subject to an order,  judgment or decree of an administrative tribunal,  a court of competent jurisdiction,  an SRO or the SEC that is entered within three years preceding the date of filing the application or any time thereafter,  and that enjoins or restrains the person from engaging in or continuing any conduct or practice in connection with the sale or purchase of securities.
AZ Rev Stat § 44-1922 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1922 - Revocation of registration by qualification or description; grounds

44-1922.  Revocation of registration by qualification or description;  grounds Except for securities registered by qualification pursuant to section 44-1901,  the commission may revoke the registration of any securities registered under this chapter if,  after a hearing or notice and opportunity for hearing as provided by article 11 of this chapter,  it finds that: 1. Any of the grounds for denial specified in section 44-1921 exists. 2. Securities registered by description are not entitled to registration by description.
AZ Rev Stat § 44-1923 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1923 - Order denying or revoking registration; notice to issuer and dealers

44-1923.  Order denying or revoking registration;  notice to issuer and dealers A. If,  after a hearing or notice and opportunity for hearing as provided by article 11 of this chapter,  the commission finds grounds for denying or revoking registration of securities,  it may enter an order denying or revoking the registration. The order shall state specifically the grounds for its issuance. B. On the entry of an order denying or revoking the registration of securities,  the director shall send notice of the order by certified mail to the issuer of the securities and to all registered dealers engaged in the sale of the securities.
AZ Rev Stat § 44-1924 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1924 - Order suspending registration; grounds; hearing; notice

44-1924.  Order suspending registration;  grounds;  hearing;  notice A. Except for securities registered by qualification pursuant to section 44-1901,  if the commission has reasonable grounds to believe that the registration of any securities under this chapter should be revoked on any ground specified in section 44-1921 or 44-1922 it may enter an order suspending the registration of such securities pending an examination into the affairs of the issuer or pending a hearing or opportunity for hearing as provided by article 11 of this chapter. No suspension of registration shall be effective for more than thirty days,  except with the consent of the registrant. The suspension order shall specify the grounds upon which it is issued. B. Upon entry of an order suspending the registration of any securities,  or an order withdrawing a suspension order previously issued,  the director shall send notice of the order to the issuer of the securities and to all registered dealers engaged in the sale thereof.
AZ Rev Stat § 44-1942 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1942 - Power of commission or director to require filing of additional information

44-1942.  Power of commission or director to require filing of additional information The commission or the director may require submission of additional information as to applicant's previous history,  record or business experience as deemed necessary to determine whether applicant should be registered as a dealer or salesman.
AZ Rev Stat § 44-1943 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1943 - Power of commission to require bond from dealer

44-1943.  Power of commission to require bond from dealer A. The commission may require that any dealer,  other than a dealer that is registered under the securities exchange act of 1934,  that is registered or making application for registration under this article deliver a bond,  payable to the state with sureties,  conditioned on the faithful compliance with this chapter by the dealer,  and providing that on failure to comply the dealer shall be liable to any person entitled to recovery by reason thereof. The amount of bond shall be determined by the commission and predicated on the character and size of the business to be conducted,  the financial condition and business reputation of the dealer and other factors the commission deems pertinent in the circumstances,  but in no instance shall any bond exceed twenty-five thousand dollars in respect to any dealer. B. The commission shall recognize and may require the continuance,  or increase in amount,  of bonds under its jurisdiction.
AZ Rev Stat § 44-1944 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1944 - Registration in register of dealers and salesmen of applicant complying with requirements

44-1944.  Registration in register of dealers and salesmen of applicant complying with requirements A. When an applicant has fully complied with this article and the rules of the commission thereunder,  the director shall register the applicant as a dealer in a register of dealers and salesmen,  unless the commission finds cause for denial as provided for in article 10 of this chapter. B. When the director has registered an applicant as a dealer the director shall promptly notify the applicant of the registration by mail or by the CRD system.
AZ Rev Stat § 44-1946 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1946 - Registration in register of dealers and salesmen of applicant complying with requirements

44-1946.  Registration in register of dealers and salesmen of applicant complying with requirements A. If an applicant has fully complied with the provisions of this article and the rules of the commission thereunder the director shall register the applicant as a salesman in a register of dealers and salesmen,  unless the commission finds cause for denial as provided for in article 10 of this chapter. B. When the director has registered an applicant as a salesman he shall promptly notify the applicants of the registration by mail or by the CRD system.
AZ Rev Stat § 44-1947 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1947 - Register of dealers and salesmen; recording registration and orders; transfer or expiration of registration

44-1947.  Register of dealers and salesmen;  recording registration and orders;  transfer or expiration of registration A. The names and addresses of all persons who have been registered as dealers or salesmen,  and all orders with respect thereto,  shall be recorded in a register of dealers and salesmen in the office of the director. B. The registration of a dealer who deals exclusively in securities of which the dealer is the issuer shall expire one year from the effective date of registration. All other registrations expire on December 31 of each calendar year unless renewed before expiration. C. A salesman may transfer the salesman's registration to a registered dealer by filing a completed application for registration and remitting a transfer fee to the commission. The commission may transfer the registration of a registered salesman in accordance with the terms of a temporary agent transfer program utilized by the CRD system. D. The expiration provisions described in subsection B of this section do not affect the right of the commission to suspend or revoke the registration of a dealer or salesman.
AZ Rev Stat § 44-1948 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1948 - Reporting requirements of dealers and salesmen; real property records

44-1948.  Reporting requirements of dealers and salesmen;  real property records A. Dealers and salesmen shall retain registration by filing: 1. A supplemental statement showing changes in the facts set forth in the original application for registration as supplemented or amended as such changes occur or within ninety days after the change. 2. In the case of a dealer that is registered under the securities exchange act of 1934 and to the extent requested by the commission,  any financial information that is required to be provided to the SEC or its designee under the securities exchange act of 1934. The dealer shall simultaneously file the same financial information with the commission. 3. In the case of a dealer that is not registered under the securities exchange act of 1934,  annually and within ninety days of the audit report date,  the audit report of an independent certified public accountant,  together with a balance sheet and related statements of income or operations,  stockholders' equity or retained earnings and cash flows that reflect the dealer s financial position,  the results of operations and cash flows prepared in conformity with generally accepted accounting principles and examined in accordance with generally accepted auditing standards. B. Dealers shall maintain files in connection with transactions involving real property investment contracts that include listings,  deposit receipts,  cancelled checks,  copies of contracts,  agreements and sellers' statements,  documents concerning appraisals and credit investigations and all other correspondence relating to the purchase and sale of real property investment contracts. Dealers shall maintain books,  records and accounts in conformity with generally accepted accounting principles,  showing the receipt and disbursement of funds received by dealers and salesmen in connection with the purchase and sale of real property investment contracts. Dealers shall maintain files and records relating to transactions involving real property investment contracts for five years from the date the registration expires. The files and records are subject to inspection at all times by authorized representatives of the commission.
AZ Rev Stat § 44-1949 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1949 - Duty of dealer to give notice of termination of employment of salesman; automatic suspension of salesman's registration; notice of employment of salesman

44-1949.  Duty of dealer to give notice of termination of employment of salesman;  automatic suspension of salesman's registration;  notice of employment of salesman Each registered dealer shall promptly notify the director of the termination of the employment of a registered salesman. The registration of the salesman shall automatically be suspended from the time of termination of the employment until the salesman is again employed by a registered dealer and the director is notified by the dealer in writing or by the CRD system,  and the registered dealer is notified of approval of the registration by the director or the CRD system or the salesman has complied with all requirements in accordance with a temporary agent transfer program utilized by the CRD system and the commission.
AZ Rev Stat § 44-1950 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1950 - Active military duty; compensation

44-1950.  Active military duty;  compensation A salesman who is registered under this chapter and who is a member of the Arizona national guard,  the United States armed forces reserves or the regular component of the United States armed forces shall remain eligible to receive compensation for transactions under this chapter while the salesman is on federal active duty or while temporarily with a disability following federal active duty if the salesman's registration is in approved status or has been placed in a specially designated inactive status by the financial industry regulatory authority.