The Legal Section of the Department includes a general counsel and a staff of six knowledgeable attorneys. The attorneys represent the Department in all litigation and enforcement actions.
Information is provided on how to register to sell securities in Arkansas and register as a broker-dealer, agent, investment adviser, investment adviser representative, or agent of the issuer.
Information is provided on the Nationwide Mortgage Licensing System Overview for Arkansas and how to become licensed as a mortgage banker, mortgage broker, mortgage servicer or loan officer.
Information is provided on how to become licensed or approved to conduct money services financial services such as money transmitters, issuers of traveler’s checks, money orders, stored value cards, sellers or redeemers of traveler’s checks, and currency dealers or exchangers.
Investigate Before You Invest! Brochures and pamphlets are available on financial topics, such as mutual funds, investing, retirement planning, and free curriculums for teachers. The Department has staff members who will speak about financial topics on request. Request a speaker for your organization or classroom..
State of Arkansas, Financial Information Resource
latest press releases
Arkansas Securities Commissioner, B. Edmond Waters, issued a press release in connection with a ceas...
Arkansas Securities Commissioner, B. Edmond Waters, issues a press release after approving a consent...
Arkansas Securities Commissioner, B. Edmond Waters, issues a press release in connection with a ceas...