Arkansas Securities Department

Telephone: (501) 324-9260
Facsimile: (501) 324-9268
Hotline: (800) 981-4429
info@securities.arkansas.gov

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.

Acts  |  Rules  |  Opinions  |  Orders  |  Pleadings  |  Policies  |  Proposed Rules

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.

Registration/Exemption  |  Broker-Dealer/Investment Adviser  |  FINRA Broker Check

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.

Forms  |  License Search  |  Continuing Education  |  FAQ  |  NMLS

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.

Forms  |  License Search

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..

Brochures & Pamphlets  |  Fraud Scene Investigator  |  Teachers – Grant Application  |  Basics of Saving and Investing Book