Broker-Dealers, Agents, and Investment Advisers

  1. Law
  2. Arkansas Code
  3. Public Utilities and Regulated Industries
  4. Financial Institutions And Securities
  5. Arkansas Securities Act
  6. Broker-Dealers, Agents, and Investment Advisers

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Section
23-42-301

Registration required — Unlawful acts — Supervision requirements

Section
23-42-302

Registration procedure

Section
23-42-303

Minimum net capital requirement

Section
23-42-304

Filing fees — Rules

Section
23-42-305

Corporate surety bonds — Alternatives

Section
23-42-306

Records and reports — Examinations

Section
23-42-307

Unlawful acts by investment advisers

Section
23-42-308

Denial, suspension, revocation, or withdrawal of registration, and other penalties

Section
23-42-309

Protection of vulnerable adults from financial exploitation — Definitions