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...
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...
Consumer Alert – BlockFi Trading, LLC
BlockFi Inc. and related entities, including BlockFi Trading, LLC filed for Chapter 11 bankruptcy protection in...
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...
Consumer Alert – Voyager Digital, LLC
The Arkansas Securities Department is aware of a new scam targeting consumers who hold cryptocurrency assets...
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...
Securities Renewals 2023
Annual Registration Renewal Fees Due Securities dealer and investment adviser registrations and notice filings for investment...
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...
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: ...