Please fill out the Investor Complaint Form online and submit it. Tips for Filling a Complaint Form.Make a separate list of the things you want to say and separate your feelings from the facts. The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. Arizona does not currently have a requirement that state registered investment advisers file Form CRS with the Securities Division. Do not report worthless or non-transferable securities to our office. If these do become transferable or gain value, report and remit the shares at that time. Each trading day, Nasdaq publishes a list of companies that are noncompliant with the continued listing standards. Stock Market's Epic Year Fizzles Out. Why There Are Red Flags for 2025, and 4 Other Things to Know Today.