reglab/statecodes huggingface dataset:
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-203 - Applications

Current through Register Vol. 30, No. 28, July 12, 2024
A. Twenty-five
				copies of each application for a certificate of environmental compatibility and
				supporting exhibits and accompanying information shall be filed with the
				Director of Utilities of the Commission, plus additional copies as may be
				subsequently requested by the Director of Utilities.
B. The application shall be in the form
				prescribed in
				R14-3-219
				of these rules and shall be accompanied by information with respect to the
				proposed type of facilities and description of the site, including the areas of
				jurisdiction affected and the estimated cost of the proposed facilities on the
				site. The application shall be delivered by the Director of Utilities to the
				chairman of the Committee within five days after the date of filing and shall
				be mailed to each member of the Committee within ten days of the date of
				filing.
C. The "description of the
				site" referred to in
				R14-3-203(B)
				hereof shall be reflected on a map accompanying the application and may be
				general in nature. It shall not be necessary to include either results of
				survey or a metes and bounds description.
D. An application may be filed in the
				alternative in situations where the applicant is in doubt as to whether an
				application is required by law. In such instances the application shall request
				a disclaimer of jurisdiction from the Committee or, in the alternative, a
				certificate of environmental compatibility.
E. A copy of the application shall be made
				available upon request to the Director of Utilities to persons complying with
				the requirements of
				R14-3-204
				and shall in any event be available for inspection as provided in
				R14-3-206.
F. Where applications have been filed for
				certificates of environmental compatibility by more than one utility for
				transmission lines to be constructed in the same right-of-way, the Presiding
				Officer may require the consolidation of hearings on said application.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-204 - Intervention

Current through Register Vol. 30, No. 28, July 12, 2024
A. Any person
				entitled by A.R.S. §
									40-360.05(A)
				or (C) to become a party to a certification
				proceeding shall file with the Director of Utilities 25 copies of a notice of
				intent to be a party, not less than ten days before the date set for the
				hearing. The notice of intent shall recite the interest of the person in the
				proceedings.
B. Any person entitled
				by A.R.S. §
									40-360.05(B)
				 to make a limited appearance in a
				certification proceeding shall file with the Director of Utilities three copies
				of a statement in writing, not less than five days before the date set for the
				hearing, which statement shall set forth its interest in the
				proceedings.
C. Persons making a
				limited appearance pursuant to A.R.S. §
									40-360.05(B)
				 shall not be parties for the purposes of
				these proceedings.
D. The Presiding
				Officer may, upon his own motion and notice to all parties to the proceeding
				ten days prior to the date set for hearing, designate, as he deems appropriate,
				additional persons as parties to the proceeding. The notice shall set forth the
				reasons for making such designation.
E. Upon the filing of a notice of intent or
				statement in writing provided for in
				R14-3-204, the
				Director of Utilities shall serve each member of the Committee with a copy
				thereof in the manner provided in
				R14-3-203(B).
				A copy of the notice or statement shall be made available upon request to each
				party to the proceeding.
F. No
				notice of intent to be a party, or statement, shall be accepted for filing by
				the Director of Utilities after expiration of the time periods set forth in
				R14-3-204.
G. When it becomes
				apparent to the Presiding Officer that an issue exists with respect to whether
				an ordinance, master plan or regulation of the state, a county or an
				incorporated city or town is unreasonably restrictive and compliance therewith
				is not feasible in view of technology available, he shall promptly serve
				written notice of such fact upon the chief executive officer of the area of
				jurisdiction affected and shall inform all other parties to the proceedings.
				Notwithstanding any provision of law or these Rules of Practice and Procedure
				to the contrary, the Presiding Officer shall make such area of jurisdiction a
				party to the proceedings upon request filed within ten days of said notice, and
				upon becoming a party, evidence on such issue shall be taken during the course
				of the hearing. If the hearing is otherwise completed, it shall be continued
				until the time for such appearance expires or evidence is taken whichever first
				occurs.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-205 - Notice and service requirements

Current through Register Vol. 30, No. 28, July 12, 2024
A. Notice of hearings, notice of intent to be
				a party and statement of intent to make an appearance shall be served by
				certified mail by the Presiding Officer. Copies of each notice shall be
				furnished in sufficient number as determined by the Presiding Officer to permit
				the service thereof upon all parties known at that time.
B. Except as provided in subsection (A)
				hereof, all other papers, except depositions, in proceedings pending before the
				Committee, must, when filed or tendered to the Committee, show service thereof
				upon all parties to the proceeding. Such service shall be made by delivering in
				person or by mailing, properly addressed with postage prepaid, one copy of the
				instrument served, to each party to the proceeding.
C. When any party has appeared by an attorney
				or agent, service upon such attorney or agent shall be deemed service upon such
				party.
D. Any notice to be directed
				to members of the Committee shall be in writing and shall be delivered by
				regular mail and by certified mail, return receipt requested. Unless otherwise
				specified in these Rules of Practice and Procedure, any such notice shall be
				deposited in the mails not less than ten days before the event therein
				described.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-206 - Record of proceeding

Current through Register Vol. 30, No. 28, July 12, 2024
The Director of Utilities of the Corporation Commission shall
				  maintain a complete and separate record containing all documents and exhibits
				  filed in connection with each application. Such record shall be made available
				  upon request to the public during regular business hours. A copy of each
				  application shall also be maintained in the Corporation Commission's Tucson
				  office for public inspection during regular business hours.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-207 - Amendment of documents

Current through Register Vol. 30, No. 28, July 12, 2024
A. Any
				document provided for herein to be filed may be amended only after a showing of
				good cause and at the discretion of the Presiding Officer.
B. If the Presiding Officer determines an
				applicant's amendment of an application or accompanying information constitutes
				a substantial deviation from the public notice given pursuant to
				R14-3-208(A),
				within three days of his decision to allow amendment he shall notify the
				members of the Committee, and subject to being overruled by a majority of the
				Committee within ten days of notice of his decision, further hearings shall be
				held thereon after public notice, as provided in
				R14-3-208(A),
				in which event the 180-day period specified in
				R14-3-213(A)
				shall be deemed to run from the date of such public notice.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-208 - Hearings

Current through Register Vol. 30, No. 28, July 12, 2024
A. The Presiding
				Officer shall, within ten days after receiving an application, provide:
1. Public notice as to the time and place of
				a hearing on the application.
2.
				Notice by certified mail to the affected areas of jurisdiction at least ten
				days prior to the date they are to respond by requesting to become a
				party.
3. Notice to members of the
				Committee as provided in
				R14-3-205(D).
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-209 - Extensions of time

Current through Register Vol. 30, No. 28, July 12, 2024
For good cause shown, continuances and extensions of time
				  will be granted in the discretion of the Presiding Officer, provided however,
				  that when such continuance or extension is provided to an applicant, the
				  running of the 180-day period specified in
				  R14-3-213(A)
				  shall be deemed to be tolled and shall cease to run during such continuance or
				  extension. No such continuance or extension shall be granted to an applicant
				  until such applicant has waived its right to "immediately proceed with
				  construction of the planned facilities" as provided in A.R.S. §
									40-360.08(B)
				   for a period of time equal to the applicable
				  time period under these regulations; plus such continuance or extension.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-210 - Witnesses and subpoenas

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				Subpoenas requiring the attendance of witnesses from any place in the state of
				Arizona at any designated place of hearing may be issued by the Executive
				Secretary of the Corporation Commission.
B. Subpoenas for the productions of books,
				papers or documents shall be issued by the Executive Secretary only upon
				application in writing. Applications to compel witnesses who are not parties to
				the proceedings, or agents of such parties, to produce documentary evidence
				must specify, as nearly as may be practicable, the books, papers, or documents
				desired. Applications to compel a party to the proceedings to produce books,
				papers or documents should set forth the books, papers or documents sought,
				with a statement as to the reasons they will be of service in the determination
				of the proceeding.
C. Witnesses who
				are summoned are entitled to the same fees as are paid for like service in the
				courts of the state of Arizona, such fees to be paid by the party at whose
				instance the witness is called or subpoenaed.
D. If service of subpoena is made by an
				officer of the state or his deputy, such service shall be evidenced by his
				return thereon. In case of failure to make service, the reasons for the failure
				shall be stated on the original subpoena. In making service the original
				subpoena shall be exhibited to the person served, shall be read to him if he is
				unable to read, and a copy thereof shall be left with him. The original
				subpoena, bearing or accompanied by the required return, shall be returned
				forthwith to the Presiding Officer.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-211 - Documentary evidence

Current through Register Vol. 30, No. 28, July 12, 2024
A. When
				relevant and material matter offered in evidence by any party is embraced in a
				book, papers, or document containing other matter, not material or relevant,
				the party must plainly designate the matter so offered. If the other matter is
				in such volume as would unnecessarily encumber the record, such book, paper or
				document will not be received in evidence but may be marked for identification
				and, if properly authenticated, the relevant and material matter may be read
				into the record, or if the Presiding Officer so directs, a true copy of such
				matter shall be received as an exhibit, and like copies delivered by the party
				offering the same to opposing parties or their attorneys or agents appearing at
				the hearing, who shall be afforded opportunity to examine the book, papers or
				document, and to offer in evidence in like manner other portions thereof, if
				found to be material and relevant.
B. In case any matter contained in a report
				or other document on file with the Committee or the Commission is offered in
				evidence, such report or other document need not be produced, or marked for
				identification, but in other respects the provisions of subsection (A) hereof
				shall apply.
C. In case any portion
				of the record before the Committee in any proceeding other than the one on
				hearing is offered in evidence, a true copy of such portion shall be presented
				for the record in the form of an exhibit unless:
1. The party offering the same agrees to
				supply such copy later at his own expense, if and when required by the
				Committee; and
2. The portion is
				specified with particularity in such manner as to be readily identified;
				and
3. The parties represented at
				the hearing stipulate upon the record that such portion may be incorporated by
				reference, and that any other portion offered by any other party may be
				incorporated by like reference subject to paragraphs (1) and (2); and
4. The Presiding Officer directs such
				incorporation.
Any portion so offered, whether in the form of an exhibit or
				  by reference, shall be subject to objection.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-212 - Transcript of testimony

Current through Register Vol. 30, No. 28, July 12, 2024
Upon payment therefor, the reporter shall furnish to any
				  person a typewritten transcript of all or any part of the proceedings so
				  reported and, upon request, certify that such transcript is a correct and
				  complete statement of such proceedings.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-213 - Decision of committee and certificate

Current through Register Vol. 30, No. 28, July 12, 2024
A. The Committee shall review and consider
				the transcript and record of the hearing or hearings and shall by a written
				decision of a majority of the members and notice to all parties issue or deny a
				certificate or environmental compatibility within 180 days after the date upon
				which the application has been received by the chairman, except where
				additional time is otherwise provided for herein or by stipulation or
				waiver.
B. Upon request of a
				majority of the Committee, the parties to a certification proceeding may be
				requested to file briefs with the Committee. Each brief should contain an
				abstract of the evidence relied upon and requests for such specific findings as
				the party thinks the Committee should make. Briefs not filed with the Committee
				and served on or before the dates fixed therefor will not be received except by
				special permission of the chairman. All briefs must be accompanied by notice
				showing service upon all other parties and 20 copies of each brief shall be
				furnished for the use of the Committee.
C. If oral argument is requested by a
				majority of the Committee, the chairman shall notify all parties and shall
				arrange for the Committee to hear the argument within such limits of time as he
				may determine.
D. Any member or
				members of the Committee may prepare for the record separate written opinions
				setting forth their disagreement or concurrence with the written decision of
				the majority of the Committee. Such opinions shall be appended to the decision
				of the majority of the Committee, provided they are received before notice of
				such decision is submitted to the parties.
E. Should the estimated cost of the
				facilities or site be increased as a result of the action of the Committee,
				such increase, as determined by an independent engineering firm selected
				jointly by the Committee and the applicant, shall be reflected in the
				certificate issued by the Committee.
F. Upon notice filed with the Committee, and
				accompanied by an agreement on a form supplied by the Committee in which the
				transferee agrees to comply with the terms, limitations and conditions
				contained within a certificate of environmental compatibility, such certificate
				may be transferred to any utility.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-214 - Review of committee decision

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				Within five days of the issuance of a certificate of environmental
				compatibility, the Committee shall transfer a copy of said certificate along
				with its written decision, to the Corporation Commission for its review and
				approval, subject to subsection (B) hereof.
B. Within 15 days after the date the
				Committee has rendered its written decision any party to a certification
				proceeding may request a review thereof by the Corporation
				Commission.
C. Grounds for
				requesting review shall be stated in a written notice filed with the
				Corporation Commission with a copy thereof served on the chairman of the
				Committee and all parties to the certification proceeding.
D. Within five days of receipt of the notice
				referred to in subsection (C) hereof, the chairman shall transmit to the
				Corporation Commission the complete record, including a certified transcript.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-215 - Computation of time - holidays

Current through Register Vol. 30, No. 28, July 12, 2024
When the time prescribed by these rules for doing any act
				  expires on a Saturday, Sunday, or a legal holiday, such time shall extend to
				  and include the next succeeding day that is not a Saturday, Sunday, or a legal
				  holiday.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-216 - Application of Rules of Civil Procedure

Current through Register Vol. 30, No. 28, July 12, 2024
When not in conflict with law, these Rules of Practice and
				  Procedure shall govern in all cases before the Committee. In all cases in which
				  procedure is not set forth either by law or by these rules, the Rules of Civil
				  Procedure for the Superior Courts of Arizona, as established by the Supreme
				  Court of Arizona, shall govern, except as may be otherwise directed by the
				  Corporation Commission.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-217 - Office and address

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				Applications and other papers required to be filed with the Corporation
				Commission may be transmitted by mail or express, or otherwise delivered but
				must be received for filing at its office in Phoenix, Arizona, within the time
				limit, if any, for such filing.
B.
				Papers required to be filed with the Committee may be transmitted by mail or
				express, or otherwise delivered but must be received for filing at the Arizona
				Corporation Commission, Utilities Division, 1688 West Adams, Phoenix, Arizona
				85007, within the time limit, if any, for such filing.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-218 - Filing fees

Current through Register Vol. 30, No. 28, July 12, 2024
A. The fees to
				be paid pursuant to A.R.S. §
									40-360.09,
				for each application, shall be made payable to the Utility Siting Fund and
				delivered to the chairman of the Commission on behalf of the Committee at
				Phoenix, Arizona.
B. A receipt
				evidencing payment of the appropriate fee shall be issued immediately in order
				to permit the applicant to comply with A.R.S. §
									40-360.03.
Effective 2-70.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-219 - Form of application for certificate of environmental compatibility (pursuant to A.R.S. Sections 40-360.03 and 40- 360.06)

Current through Register Vol. 30, No. 28, July 12, 2024
Applications for certificates of environmental compatibility
				  shall be typed or printed on 8 1/2 x 11 paper and shall contain the following
				  information, including information required as exhibits, in the sequence
				  provided:
1. Name and address of the
				applicant, or in the case of a joint project, the applicants.
2. Name, address and telephone number of a
				representative of an applicant who has access to technical knowledge and
				background information concerning the application in question and who will be
				available to answer questions or furnish additional information.
3. State each date on which applicant has
				filed a ten-year plan in compliance with A.R.S. §
									40-360.02
				and designate each such filing in which the facilities for which this
				application is made were described. If they have not been previously described
				in a ten-year plan, state the reasons therefore.
4. Description of the proposed facility,
				including:
a. With respect to an electric
				generating plant:
i. Type of generating
				facilities (nuclear, hydro, fossil-fueled, etc.).
ii. Number and size of proposed
				units.
iii. The source and type of
				fuel to be utilized, including a proximate analysis of fossil fuels.
iv. Amount of fuel to be utilized daily,
				monthly and yearly.
v. Type of
				cooling to be utilized and source of any water to be utilized.
vi. Proposed height of stacks and number of
				stacks, if any.
vii. Dates for
				scheduled start-up and firm operation of each unit and date construction must
				commence in order to meet schedules.
viii. To the extent available, the estimated
				costs of the proposed facilities and site, stated separately. (If application
				contains alternative sites, furnish an estimate for each site and a brief
				description of the reasons for any variations in estimates.)
ix. Legal description of proposed site. (If
				application contains alternative sites, list sites in order of applicant's
				preference with a summary of reasons for such order of preference and any
				changes such alternative sites would require in the plans reflected in (i)
				through (viii) hereof.)
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 3 - Corporation Commission - Rules of Practice and Procedure › Article 2 - RULES OF PRACTICE AND PROCEDURE BEFORE POWER PLANT AND TRANSMISSION LINE SITING COMMITTEE › Section R14-3-220 - Unauthorized communications

Current through Register Vol. 30, No. 28, July 12, 2024
A.
				Purpose. It is the purpose of this rule to assist members of the Arizona Power
				Plant and Line Siting Committee in avoiding the possibility of prejudice, real
				or apparent, to the public interest in proceedings before the Siting
				Committee.
B. Application. The
				provisions of this rule apply from the time a notice of siting hearing is
				published pursuant to
				R14-3-208(A).
C. Prohibitions.
1. No person shall make or cause to be made
				an oral or written communication, not on the public record, concerning the
				substantive merits of siting hearing to member of the Siting Committee involved
				in the decision-making process for that siting hearing.
2. No member of the Siting Committee shall
				request, entertain, or consider an unauthorized communication concerning the
				merits of a siting hearing.
3. The
				provisions of this rule shall not prohibit:
a. Communications regarding procedural
				matters;
b. Communications
				regarding any other proceedings;
c.
				Intra-agency or non-party communications regarding purely technical and legal
				matters.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-101 - Exempt Transactions - Existing Stockholders and Employees

Current through Register Vol. 30, No. 28, July 12, 2024
A. An offering of
				securities within or from Arizona that is exclusively to bona fide employees or
				existing security holders of the issuer or a subsidiary of the issuer, or if
				the issuer is a subsidiary, is exclusively to the bona fide employees or
				existing security holders of the issuer and/or its parent, is added to the
				class of transactions exempt under A.R.S. §
									44-1844.
				An issuer relying on this Section shall comply with all of the following
				conditions:
1. The aggregate amount of all
				offerings made by an issuer under this exemption within or from Arizona shall
				not exceed $500,000.
2. The issuer
				shall pay no commission or remuneration of any kind, other than transfer
				agent's fees, directly or indirectly, to any person in connection with the
				distribution or sale of such securities.
3. At least 10 business days before the
				offering is made, the issuer shall file with the Commission a verified
				statement of the details and purposes of the offering and the financial
				condition of the issuer. The issuer shall not make any material change in the
				details of the offering without the Commission's consent.
4. The issuer shall obtain Commission
				approval of any subscription contract calling for deferred payments.
5. An issuer that is not domiciled in Arizona
				or is not incorporated under the laws of this state shall file a consent to
				service (Uniform Form U-2) with the verified statement prescribed in subsection
				(A)(3) above.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-102 - Exempt Transactions - Restricted Public Offering

Current through Register Vol. 30, No. 28, July 12, 2024
A. An offering of securities within or from
				Arizona made to not more than 10 persons is added to the class of transactions
				exempt under A.R.S. §
									44-1844.
				An issuer relying on this Section shall comply with all of the following
				conditions.
1. The aggregate amount of all
				offerings made by an issuer under this exemption within or from Arizona shall
				not exceed $100,000.
2. The issuer
				shall pay no commission or remuneration of any kind, other than transfer
				agent's fees, directly or indirectly to any person in connection with the
				distribution or sale of such securities.
3. At least 10 business days before the
				offering is made, the issuer shall file with the Commission a verified
				statement of the details and purposes of the offering and the financial
				condition of the issuer. The issuer shall not make any material change in the
				details of the offering without the Commission's consent.
4. The issuer shall obtain Commission
				approval of any subscription contract calling for deferred payments.
5. An issuer that is not domiciled in Arizona
				or is not incorporated under the laws of this state shall file a consent to
				service (Uniform Form U-2) with the verified statement prescribed in subsection
				(A)(3) above.
6. The issuer and any
				person acting on its behalf shall reasonably believe prior to making any sale
				that the investment is suitable for the purchaser. For the limited purpose of
				this condition only, the investment is deemed suitable if it does not exceed
				20% of the investor's net worth (excluding principal residence, furnishings
				therein, and personal automobiles).
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-103 - Advertising and Sales Literature

Current through Register Vol. 30, No. 28, July 12, 2024
A. Any advertising, communication, prospectus
				or sales literature of any kind, published, exhibited, broadcast for radio or
				television, or used directly or indirectly in connection with the purchase or
				sale of any securities registered or subject to registration under A.R.S.
				§§
									44-1871
				or
				44-1891,
				shall be filed with the Commission at least three days prior to its proposed
				use.
B. No advertising,
				communication, prospectus, or sales literature of any kind shall contain:
1. Any untrue statement of material fact nor
				any omission to state any material fact necessary in order to make the
				statements made, in the light of the circumstances under which they were made,
				not misleading.
2. Any statement or
				inference that the securities offered are without risk, that dividend returns
				are assured, or that failure or loss is not possible.
3. Any comparison with alleged analogous
				situations, nor statistics or statements relating to the financial condition,
				growth or business success of other companies or the appreciation of or returns
				from the securities of other companies except that a statutory prospectus
				meeting the requirements of A.R.S. §
										44-1894
				may contain financial and business information concerning subsidiaries or
				affiliates and statistics or statements concerning an issuer's competitive
				position in its industry.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-104 - Registration Required of Dealers and Salesmen otherwise Exempt under A.R.S. Sections 44-1843 and 44-1844

Current through Register Vol. 30, No. 28, July 12, 2024
Notwithstanding A.R.S. §§
									44-1843
				  and
				  44-1844,
				  a dealer or salesman shall register under A.R.S. Title 44, Chapter 12, Article
				  9 before engaging in transactions in any of the following:
1. Securities exempt from registration under
				A.R.S. §
									44-1843(A)(1),
				except a dealer or salesman shall not be required to register before engaging
				in transactions in securities issued or guaranteed by the United
				States.
2. Securities exempt from
				registration under A.R.S. §
									44-1843(A)(7).
				However, a dealer or salesman shall not be required to register before engaging
				in transactions directed to existing securities holders, to employees of the
				issuer, or to employees of a wholly owned subsidiary of the issuer if the
				subsidiary was not created to avoid the registration provisions of the
				Securities Act, and in which either of the following apply:
a. The offering is made by the
				issuer.
b. The offering is made by
				a dealer or salesman acting without compensation, other than a reasonable
				standby charge authorized under the distribution agreement concerning any
				remaining balance of the offering not purchased or subscribed by existing
				securities holders or employees of the issuer or its wholly owned
				subsidiary.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-106 - Options, Warrants, and Rights to Purchase

Current through Register Vol. 30, No. 28, July 12, 2024
A. The grant of options, warrants and rights
				to purchase to officers, directors and other employees in the form of incentive
				stock options, warrants or rights to purchase in accordance with Sec. 422A of
				the Internal Revenue Code of 1954, as amended, will be considered
				justified.
B. The grant of options,
				warrants and rights to purchase to officers, directors and promoters not in
				accordance with Sec. 422A of the Internal Revenue Code of 1954, as amended,
				will be considered justified if all of the following conditions are met:
1. A certificate or instrument in evidence
				thereof is issued prior to the commencement of the proposed public
				offering.
2. The number of shares
				covered thereby does not exceed 20% of the number of securities to be
				outstanding at the completion of the proposed public offering.
3. The initial exercise price is reasonably
				related to the public offering price.
4. They do not exceed 10 years in
				duration.
5. The prospectus to be
				used in connection with the proposed public offering contains a full disclosure
				as to the terms and reasons for their grant.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-107 - Promoters Equity

Current through Register Vol. 30, No. 28, July 12, 2024
A. An amount
				equal to the following percentages of a proposed public offering shall, before
				new stock is offered to the public, be paid in or contributed in cash, or other
				tangibles by the organizers and promoters, except in unusual instances and the
				burden shall rest on the applicant to justify its exclusion from the following
				schedule:
10% of the first $200,000.00
5% of the second $200,000.00
1% of the balance
B. The value placed on any non-cash assets so
				paid in or contributed must be fully substantiated.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-108 - Sales Commission and Expenses

Current through Register Vol. 30, No. 28, July 12, 2024
A. No issuer shall incur a liability which
				must be paid by the issuer as a selling expense in connection with the sale of
				a public issuance greater than 15% of the amount of said issue actually sold to
				the public.
B. Selling expense
				shall include commissions, salaries, advertising and all other expense directly
				or indirectly incurred in connection with the sale of securities, excluding,
				however:
1. Attorneys' fees for services in
				connection with the issue and sale of the securities and their qualification
				for sale under applicable laws and regulations;
2. The cost of prospectuses, circulars and
				other documents required to comply with such laws and regulations;
3. Other expenses incurred in connection with
				such qualification and compliance with such laws and regulations;
4. Cost of authorizing and preparing the
				securities and documents relating thereto, including issue taxes and stamps;
				and
5. Charges of transfer agents,
				registrars, indenture trustees, escrow holders, depositories, auditors, and of
				engineers, appraisers and other experts.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-109 - Examination of Prospective Dealers and Salesmen

Current through Register Vol. 30, No. 28, July 12, 2024
A. Prior to the registration of a dealer or
				salesman the Commission may require that each applicant take a written
				examination at a time and place specified by the Commission to determine
				whether the business experience of the applicant is sufficient to justify the
				registration of the said applicant.
B. The provisions as stated above shall not
				apply to those dealers or salesmen whose names appear in the register of
				dealers and salesmen as of the date of the adoption of these rules.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-110 - Installment Sales

Current through Register Vol. 30, No. 28, July 12, 2024
A. Marginal
				sales of securities will be permitted on an installment basis with
				approximately 50% paid down at the time of subscription and the balance payable
				within 10 months.
B. Subsection (A)
				will not apply:
1. To sales of partnership
				interests, or joint venture interests, the issuer having made other installment
				arrangements acceptable to the Director of Securities.
2. To securities registered under the
				Investment Company Act of 1940.
3.
				In other unusual instances and the burden shall rest on the applicant to
				justify its exclusion from said provision.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-111 - Commissions to Officers and Directors

Current through Register Vol. 30, No. 28, July 12, 2024
No commission or sales fee will be allowed either directly or
				  indirectly to officers, directors or promoters of an issuer, when such issuer
				  is a dealer in its own securities, for sale of such securities, unless such
				  officers, directors, or promoters receive no other salary or remuneration from
				  such issuer and do not sell securities in more than one issue at the same
				  time.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-112 - Impoundment of Funds

Current through Register Vol. 30, No. 28, July 12, 2024
Funds held in a depository as a condition to registration
				  shall be deposited in a national bank or a bank organized pursuant to an Act of
				  Congress and supervised by an agency of the United States or by a state bank
				  which is supervised and regulated by an agency of this state or of the United
				  States. Funds so held may only be released by order of the
				  Commission.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-113 - Impound Dates - Application to Extend

Current through Register Vol. 30, No. 28, July 12, 2024
A period of one year from the date of effective registration
				  of securities by an issuer shall ordinarily be the maximum time allowed to such
				  issuer to obtain the funds necessary to finance the proposed enterprise
				  outlined in the issuer's prospectus. The request of any issuer seeking a longer
				  period of time will be looked upon with disfavor.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-114 - Recognized Manuals of Securities

Current through Register Vol. 30, No. 28, July 12, 2024
A. For purposes of A.R.S. §
									44-1844(A)(11),
				each of the following publications is approved by the Commission as a
				recognized manual of securities.
1. Mergent's
				Industrial Manual.
2. Mergent's
				Municipal and Government Manual.
3.
				Mergent's Transportation Manual.
4.
				Mergent's Public Utility Manual.
5.
				Mergent's Bank and Finance Manual.
6. Standard & Poor's Corporation
				Records.
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-115 - Listing of National Securities Exchanges Registered under the Securities Exchange Act of 1934, As Used in A.R.S. Section 44-1843(a)(7)

Current through Register Vol. 30, No. 28, July 12, 2024
Each of the following national exchanges is approved by the
				  Commission as a recognized securities exchange within the meaning of that term
				  as used in A.R.S. §
									44-1843(A)(7):
1. New York Stock Exchange
2. American Stock Exchange
3. Midwest Stock Exchange
4. Pacific Coast Stock Exchange
5. Philadelphia Stock Exchange
6. Chicago Board Options Exchange
Arizona Administrative Code › Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION › Chapter 4 - Corporation Commission - Securities › Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT › Section R14-4-116 - NASAA Statements of Policy

Current through Register Vol. 30, No. 28, July 12, 2024
A. Unless otherwise provided in A.R.S. Title
				44, Chapter 12, Article 7, transactions that fall within one or more of the
				following North American Securities Administrators Association (NASAA)
				statements of policy shall comply with the requirements of those statements of
				policy to qualify for registration or renewal under A.R.S. Title 44, Chapter
				12, Article 7. This Section shall not apply to the registration of securities
				under A.R.S. §
									44-1901.
1. Statement of policy regarding loans and
				other material affiliated transactions, amended November 18, 1997.
2. Registration of asset-backed securities,
				adopted October 25, 1995; amended May 7, 2007.
3. NASAA mortgage program guidelines, adopted
				September 10, 1996; amended May 7, 2007.
4. Registration of commodity pool programs,
				adopted September 21, 1983, effective January 1, 1984; amended and adopted; May
				7, 2007.
5. Equipment programs,
				adopted November 20, 1986; amended April 22, 1988, and May 7, 2007.
6. Registration of oil and gas programs,
				adopted September 22, 1976; amended October 12, 1977, October 31, 1979, April
				23, 1983, July 1, 1984, September 3, 1987, September 14, 1989, October 24,
				1991, and May 7, 2007.
7. Statement
				of policy regarding real estate investment trusts, revised and adopted May 7,
				2007.
8. Real estate programs, last
				revised May 7, 2007.
9. Statement
				of policy regarding unequal voting rights, adopted and effective October 24,
				1991.
10. Omnibus Guidelines,
				adopted March 29, 1992; amended May 7, 2007.
11. Statement of policy regarding church
				extension fund securities, adopted April 17, 1994, entitled guidelines for
				general obligation financing by religious denominations; amended April 18,
				2004.
12. Statement of policy
				regarding church bonds, adopted April 14, 2002.