Relationship Investor Scams
The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s Office of…
WELCOME TO THE ARKANSAS SECURITIES DEPARTMENT
Protecting Consumers, Educating Investors, and Safeguarding Arkansas’s Financial Markets
Securities
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.
Mortgage Loans
Learn about the Nationwide Mortgage Licensing System and Registry (NMLS), and find out how to become licensed as a mortgage banker, mortgage broker, mortgage servicer or loan officer.
Money Services
Perform a license search, learn how to become licensed or approved to conduct financial services, download a surety bond form and more.
Investor Education
View useful information on financial topics, including investing, mutual funds, retirement planning and more. Resources for teachers are also available.
Press Releases
01/17/2025
Arkansas Securities Department joins $106 million multi-state settlement with Vanguard over big tax bills, remediation to investors
Read More01/15/2025
Arkansas Securities Department joins $80 million enforcement action against Block, Inc., Cash App for BSA/AML violations
Read More01/13/2025
Arkansas Securities Department joins $17 million multi-state enforcement settlement with Edward Jones
Read MoreLatest News
Updated Nonbank Ransomware Self-Assessment Tool (R-SAT) – Available Now!
Download the updated Nonbank Ransomware Self-Assessment Tool (R-SAT) today to evaluate your institution’s cybersecurity posture. This…