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Arkansas Securities Department Publishes New Investment Adviser Guide to Help Firms Stay in Compliance

The Arkansas Securities Department (“Department”) has released an Investment Adviser Guide to assist state-registered investment adviser firms in their compliance with the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.

The Staff of the Department (“Staff”) routinely examines firms for compliance.  Culled from their extensive experience, the Staff has drafted this Guide to highlight some common deficiencies, best practices, and tips for compliance.

The Guide, along with other regulatory information including what to expect on an exam, can be found HERE and is posted to the Department’s website (http://securities.arkansas.gov) at the following link:  http://securities.arkansas.gov/securities-2/broker-dealer-investment-adviser/.

If you have any questions or need to contact the Staff, please call the Department at 501-324-9260 or send an email to asdinfo@arkansas.gov.

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