The new requirements became effective as of July 20, 2011, and documentation proving lawful presence in the United States must be provided to the Arizona Securities Commission if the IAR:
- is an
Arizonaresident registering as an IAR in Arizona
- is a non-Arizona resident registering as an IAR only in
- is currently an IAR registered in Arizona and is planning to renew his/her registration for 2012, in which case the documentation must be submitted prior to the 2012 renewal.
Submitted documentation must include a photo of the individual and must be accompanied by his/her CRD number. A list of approved forms of documentation for submission to the Arizona Securities Commission is available here.
For additional information on the new documentation requirements, please contact Zac Rosenberg, Compliance Consultant by email at firstname.lastname@example.org or by phone at (619) 278-0020.