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, …
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 …
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 …
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 - 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 …
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 …
Arkansas Securities Department Joins $106M Settlement with …
3 days ago · 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 …
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 …
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 …
Twelve Firms to Pay More Than $63 Million Combined to Settle …
Jan 13, 2025 · The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to …