Arkansas Securities Department
A. Heath Abshure, Commissioner
Heritage West Building, Suite 300
201 East Markham Street
Little Rock, Arkansas 72201-1692
Main Telephone: (501) 324-9260 Facsimile: (501) 324-9268 Hotline: (800) 981-4429
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Securities Forms
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Broker-Dealer/IA Forms
- Agent of a Broker Dealer Registration Requirements
- Agent of the Issuer Registration Requirements
- Arkansas Registered Investment Adviser Firms Registration Requirements
- Arkansas Registered Investment Adviser Representative Registration Requirements
- Broker-Dealer Registration Requirements
- SEC Registered Investment Adviser Firms Notice Filing Registration Requirements
- Resolution of Firm
- Principal Designation Letter
- Independent Contractor Acknowledgement
- Uniform Surety Bond
- Arkansas Resident Principal Designation Letter
- Registration Renewal Requirements for Broker Dealers and their Agents
- Agent of the Issuer Renewal Application
- Arkansas Registered Investment Adviser Firm Renewal Requirements
- Registration Renewal Requirementsfor Broker Dealers and their Agents
- SEC Registered Investment Adviser Notice Filing Renewal Requirements
- FINRA Forms
- U-2 Uniform Consent to Service of Process
- SEC Forms
Securities Registration/Exemption Forms