Arkansas Securities Department
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, investment adviser and more.
Securities and Exchange Commission (SEC) - Arkansas Securities …
May 26, 2022 · Protecting Consumers, Educating Investors, and Safeguarding the Integrity of Arkansas’s Financial Markets
Arkansas Securities Department
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 services industry -- issuers of securities, securities brokers, investment advisers, state chartered credit unions, state chartered savings and loans, mortgage ...
SEC.gov | Fort Worth Regional Office
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 companies, and broker-dealers. The Fort Worth office primarily conducts its enforcement or examination activities in Arkansas, Kansas, Oklahoma, and Texas.
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 the main Arkansas offices. Utilizing data and analytics. Moving from an agent based model to technology based model.
Arkansas Securities Department - Arkansas Department of ...
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 without unnecessary regulatory impediments.
Arkansas Securities Department joins $17 million multi-state ...
5 days ago · The four-year investigation was led by a working group of 14 state securities regulators, including Arkansas, which looked into Edward Jones’s supervision of customers moving from brokerage to advisory accounts in consideration of the 2016 U.S. Department of Labor (DOL) Fiduciary Rule that would make investment advice to retirement accounts ...
Arkansas Securities Department - Encyclopedia of Arkansas
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 Securities and Exchange Commission (SEC), and the fact that there is a national self-regulatory organization for brokerage firms, the Financial Industry ...
Search Filings - SEC.gov
Jul 2, 2024 · View a listing of real-time filings as they are submitted into the EDGAR system. Also view daily filings by form type within the past week. Tutorials and resources to help users locate filings, conduct research, and retrieve specific information in EDGAR.
SEC.gov | Home
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 facilitates capital formation for those looking to hire, innovate, and grow.