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.

May 26, 2022 · Protecting Consumers, Educating Investors, and Safeguarding the Integrity of Arkansas’s Financial Markets

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 ...

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.

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.

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 ...

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.

LITTLE ROCK, Ark. (August 11, 2023) – Governor Sarah Huckabee Sanders has appointed Susannah Marshall as Commissioner of the Arkansas Securities Department effective immediately. She becomes the state’s 19th Securities Commissioner.

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.

Jan 17, 2025 · The Arkansas Securities Department joined a task force of state regulators and the United States Securities and Exchange Commission (SEC) in a $106 million settlement with Vanguard Marketing Corporation (VMC) and The Vanguard Group, Inc. (Vanguard) for failing to supervise registered persons and failing to disclose potential tax consequences to ...