Explore up-to-date acts, rules, orders, pleadings and legal opinions. Get information on how to register to sell securities in Arkansas and register as an agent of the issuer, broker-dealer, …

The Department strives to protect the financial well-being of Arkansas citizens through the effective enforcement of various statutes which regulate several segments of the financial …

May 26, 2022 · Protecting Consumers, Educating Investors, and Safeguarding the Integrity of Arkansas’s Financial Markets

Jun 25, 2024 · The Fort Worth Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment …

May 25, 2021 · The Arkansas Securities Department promotes an environment in which the securities and financial markets within the department’s jurisdiction function efficiently and …

Aug 14, 2019 · Review and approve license and renewal applications for each of the money services business or currency exchanger. On-site compliance examinations are conducted at …

Apr 25, 2023 · At first glance, this would seem like a patchwork system of regulation, especially in light of the fact that the federal government also regulates securities through the United States …

Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and …

Feb 11, 2010 · From this page you can search for company information. Company filings are available starting in 1994. See also full text search. Enter your search information. and …

Jan 17, 2025 · The Arkansas Securities Department joined a task force of state regulators and the United States Securities and Exchange Commission (SEC) in a $106 million settlement with …