- A. If any of the information submitted under R4-46-401(B)(2) changes, the controlling person of the registered AMC shall ensure that written notice is provided to the Department within 10 business days.
- B. If an individual becomes the controlling person of a registered AMC and the information required under R4-46-401(B)(3) was not previously submitted for the individual, the new controlling person shall ensure that the required information is submitted to the Department within 10 business days after the change in controlling person.
- C. If a registered AMC is required under A.R.S. § 32-3662(B)(4) to provide the name and contact information for an agent for service of process in this state, the controlling person of the AMC shall ensure that written notice of any change in the information is submitted to the Department within 10 business days.
- D. If the regulated entity, the responsible person, any controlling person, or any direct or indirect owner of the firm has ever been, or is currently, the subject of any complaint, investigation, or disciplinary action against a license, certificate, registration, or membership by any state regulatory agency, or any professional or occupational credentialing authority that resulted in an adverse judgment against them, including any denial, or voluntary surrender, withdrawal, or resignation of a credential in lieu of disciplinary action, the controlling person of the AMC shall ensure that written notice of such action is provided to the Department within 10 business days after such action has been finalized.
Historical Note
New Section made by final rulemaking at 21 A.A.R. 1675, effective October 6, 2015 (Supp. 15-3). Amended by final rulemaking at 25 A.A.R. 1139, effective June 10, 2019 (Supp. 19-2). Amended by final rulemaking at 28 A.A.R. 893 (May 6, 2022), effective June 11, 2022 (Supp. 22-2). Amended by final rulemaking at 30 A.A.R. 3515 (November 22, 2024), effective January 5, 2025 (Supp. 24-4). Amended by final rulemaking at 31 A.A.R. 4439 (November 28, 2025), effective January 4, 2026 (Supp. 25-4).