Arkansas Securities Department

Web Name: Arkansas Securities Department






contact us Telephone: (501) 324-9260Facsimile: (501) 324-9268Hotline: (800) Legal The Legal Section of the Department includes a general counsel and a staff of six knowledgeable attorneys. The attorneys represent the Department in all litigation and enforcement actions. Acts|Rules|Opinions|Orders|Pleadings|Policies|Proposed Rules Securities Information is provided on how to register to sell securities in Arkansas and register as a broker-dealer, agent, investment adviser, investment adviser representative, or agent of the issuer. Registration/Exemption|Broker-Dealer/Investment Adviser|FINRA Broker Check Mortgage Loans Information is provided on the Nationwide Mortgage Licensing System Overview for Arkansas and how to become licensed as a mortgage banker, mortgage broker, mortgage servicer or loan officer. Forms|License Search|Continuing Education|FAQ|NMLS Money Services Information is provided on how to become licensed or approved to conduct money services financial services such as money transmitters, issuers of traveler’s checks, money orders, stored value cards, sellers or redeemers of traveler’s checks, and currency dealers or exchangers. Forms|License Search Investor Education Investigate Before You Invest! Brochures and pamphlets are available on financial topics, such as mutual funds, investing, retirement planning, and free curriculums for teachers. The Department has staff members who will speak about financial topics on request. Request a speaker for your organization or classroom.. Brochures Pamphlets|Fraud Scene Investigator|Teachers – Grant Application|Basics of Saving and Investing BookTransparency.Arkansas.GovState of Arkansas, Financial Information Resource 9/3/2019 Social Automotive Management Services, LLC; Social Inc.; and Adam Sharp Arkansas Securities Commissioner, B. Edmond Waters, issues a press release in connection with a ceas... LPL Financial, LLC Arkansas Securities Commissioner, B. Edmond Waters, issues a press release regarding the entry of a ... LPL Financial LLC Arkansas Securities Commissioner, B. Edmond Waters, issues a press release regarding the entry of a ...

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The Arkansas Securities Department is responsible for the regulation of the securities industry in the state, to protect the financial well being of Arkansas citizens, and promote an environment where the financial and capital markets function efficiently and without unnecessary regulatory impediments. The Arkansas Securities Department also regulates mortgage loan companies, money services companies, foreign savings and loan banks, state chartered credit unions, and state chartered savings and loan associations. The Arkansas Securities Department is responsible for the registration of securities brokerage firms, their salesmen, and the securities they sell, such as stocks, bonds, and mutual funds. To protect the Arkansas investor, the Arkansas Securities Department is responsible for the investigation of investor complaints and the enforcement of Arkansas securities statutes and rules.

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