Edward R. Hannsz

As an attorney with the Arizona Corporation Commission — Securities Division, my practice focuses on Arizona and federal securities laws. I have experience reviewing investment adviser and dealer applications of entities seeking registration in the State of Arizona, drafting memoranda on pressing legal policy issues affecting securities laws in Arizona, and helping prepare litigation pleadings for registration and compliance cases in front of Arizona Corporation Commission Administrative Law Judges and in other forums. In addition, I have participated in on-site regulatory examinations of investment advisers within the State of Arizona. I deal with current legislative policies affecting Arizona’s securities laws and have written white papers on intrastate crowdfunding exemptions that are beginning to be enacted nationwide, peer-to-peer lending, and the SEC’s ongoing rule making regarding the pending Regulation Crowdfunding exemption found within Title III of the JOBS Act. In Arizona, the primary source of investment regulation can be found in the Arizona Securities Act and the Arizona Investment Management Act, and I have knowledge of these statutes’ regulatory framework for the registration of securities offerings, investment advisers, investment adviser representatives, dealers, and salesmen.

I obtained my Juris Doctor from the University of Arizona James E. Rogers College of Law. In law school, I was a member of the Arizona Law Review and wrote my note on the case In Re Vasquez, which involved mortgage documentation issues that had a broad impact on the Arizona housing market. I hold a Bachelor of Business Administration in Finance from Florida International University with summa cum laude honors.

For more information about raising capital in Arizona or the Arizona securities laws, please contact the Arizona Corporation Commission — Securities Division’s AOD line at (602) 542-4242 or at [email protected]