Broker Dealer/Investment Adviser - Arkansas Securities Department

Investor Education

How to File A Complaint

Broker Dealer/Investment Adviser *

NASAA Announces IARD System Fee Waiver for Investment Adviser Firms While Reduced System Fees Reinstated for Investment Adviser Representatives

Agent of the Issuer Registration Requirements

Agent of the Issuer Renewal Application

Agreement of Joint Supervision for Dual Registration

Bond Continuation Certificate

Arkansas Registered Investment Adviser Firms Registration Requirements

Broker-Dealer and Agent Registration Requirements

SEC Registered Investment Adviser firms Notice Filing Registration Requirements

Independent Contractor Acknowledgement

Investment Adviser Independent Contractor Acknowledgement

Uniform Surety Bond

SEC Registered Investment Adviser Notice Filing Renewal Requirements

contact us

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

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