§ 44-1891 Registration by qualification
§ 44-1892 Documents required for application for registration by qualification; fee
§ 44-1893 Application for registration of securities by qualification; contents; accompanying documents; signature and verification
§ 44-1894 Prospectus; contents; use of consolidated financial statements; amendment or supplement to prospectus required to show material change
§ 44-1895 Preparation of required financial statements
§ 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
§ 44-1897 Amendment or withdrawal of application, prospectus or other documents
§ 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
§ 44-1899 Renewal of registration by qualification
§ 44-1900 Registration of additional securities by qualification
§ 44-1901 Registration of certain securities by qualification; definitions
§ 44-1902 Power of the commission to register certain securities by uniform limited offering registration

Terms Used In Arizona Laws > Title 44 > Chapter 12 > Article 7

  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Appraisal: A determination of property value.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Blind pool offering: means an offering in which either:

    (a) The offering materials do not describe specific operational plans. See Arizona Laws 44-1801

  • Commission: means the Arizona corporation commission. See Arizona Laws 44-1801
  • Contract: A legal written agreement that becomes binding when signed.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Director: means the director of the securities division of the commission. See Arizona Laws 44-1801
  • Division: means the securities division of the commission. See Arizona Laws 44-1801
  • Donor: The person who makes a gift.
  • Felony: A crime carrying a penalty of more than a year in prison.
  • Fiduciary: A trustee, executor, or administrator.
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • Fraud: Intentional deception resulting in injury to another.
  • including: means not limited to and is not a term of exclusion. See Arizona Laws 1-215
  • Issuer: means any person who issues or proposes to issue any security, except:

    (a) With respect to certificates of deposit, voting-trust certificates, collateral-trust certificates, certificates of interest or shares in an unincorporated investment trust, whether or not of the fixed, restricted management or unit type, issuer means the person or persons performing the acts and assuming the duties of depositor or manager pursuant to the provisions of the trust or other agreement or instrument under which such securities are issued. See Arizona Laws 44-1801

  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Lien: A claim against real or personal property in satisfaction of a debt.
  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • Misdemeanor: Usually a petty offense, a less serious crime than a felony, punishable by less than a year of confinement.
  • Month: means a calendar month unless otherwise expressed. See Arizona Laws 1-215
  • Oath: includes an affirmation or declaration. See Arizona Laws 1-215
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • Person: means an individual, corporation, partnership, association, joint stock company or trust, limited liability company, government or governmental subdivision or agency or any other unincorporated organization. See Arizona Laws 44-1801
  • Process: means a citation, writ or summons issued in the course of judicial proceedings. See Arizona Laws 1-215
  • Property: includes both real and personal property. See Arizona Laws 1-215
  • Real property: Land, and all immovable fixtures erected on, growing on, or affixed to the land.
  • Registered dealer: means a dealer registered under this chapter. See Arizona Laws 44-1801
  • Registered salesman: means a salesman registered under this chapter. See Arizona Laws 44-1801
  • Salesman: means an individual, other than a dealer, employed, appointed or authorized by a dealer to sell securities in this state. See Arizona Laws 44-1801
  • SEC: means the United States securities and exchange commission. See Arizona Laws 44-1801
  • sell: means a sale or any other disposition of a security or interest in a security for value and includes a contract to make such sale or disposition. See Arizona Laws 44-1801
  • Service of process: The service of writs or summonses to the appropriate party.
  • SRO: means any national securities or commodities exchange, registered association or registered clearing agency. See Arizona Laws 44-1801
  • Trustee: A person or institution holding and administering property in trust.
  • Underwriter: means a person who has acquired from an issuer with a view to, or sells for an issuer in connection with, the distribution of any securities or participates or has a direct or indirect participation in such undertaking, or participates or has a participation in the direct or indirect underwriting of such undertaking. See Arizona Laws 44-1801
  • United States: includes the District of Columbia and the territories. See Arizona Laws 1-215
  • Writing: includes printing. See Arizona Laws 1-215