Immediate steps for firms to take regarding TD Ameritrade transition to Charles Schwab & Co., Inc. Little Rock, AR – September 5, 2023 – The Arkansas Securities Department (“Department”) is issuing this Adviser Alert... Read More
Arkansas Securities Department announces refunds for clients of precious metals firm LITTLE ROCK, Ark. (Aug. 31, 2023) — The Arkansas Securities Department (ASD), along with securities regulators... Read More
Consumer Alert – BlockFi Trading, LLC BlockFi Inc. and related entities, including BlockFi Trading, LLC filed for Chapter 11 bankruptcy protection in... Read More
Gov. Sanders appoints Susannah Marshall as Commissioner of the Arkansas Securities Department LITTLE ROCK, Ark. (August 11, 2023) – Governor Sarah Huckabee Sanders has appointed Susannah Marshall as... Read More
Consumer Alert – Voyager Digital, LLC The Arkansas Securities Department is aware of a new scam targeting consumers who hold cryptocurrency assets... Read More
FTC Issues List of Top Scams of 2022 Please click the following link for further details and a full listing of the FTC’s top... Read More
Securities Renewals 2023 Annual Registration Renewal Fees Due Securities dealer and investment adviser registrations and notice filings for investment... Read More
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... Read More
Financial Advice via Social Media: The Rise of the “Finfluencer” The Arkansas Securities Department has issued a new investor advisory entitled “Financial Advice via Social Media: ... Read More