Beware of Financial Fraud in the Wake of Natural Disaster
The Financial Industry Regulatory Authority (FINRA) Foundation recently made a $5,000 disaster-response grant to the Cross...
REGISTRANT NOTICE – Temporary Regulatory Relaxation
REGISTRANT NOTICE – Temporary Regulatory Relaxation The thoughts of our Staff are with industry in Arkansas...
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...
Investor Alert: Self Directed IRAs and the Risk of Fraud
Investor Alert to warn investors of potential risks associated with self-directed Individual Retirement Accounts (self-directed IRAs).
Securities Renewals 2023
Annual Registration Renewal Fees Due Securities dealer and investment adviser registrations and notice filings for investment...
Bankruptcy Cases Highlight Risks of Cryptocurrencies
LITTLE ROCK—The Arkansas Securities Department (ASD) cautions Arkansans to exercise extreme caution when deciding to invest,...
The ASD shares resources for new job
LITTLE ROCK – The Arkansas Securities Department (ASD) offers resources from the Investor Protection Trust for...
Investment Scams in the Metaverse: How to Protect Yourself from Losing Real Money in the Virtual World
The Arkansas Securities Department has issued a new investor advisory entitled “Investment Scams in the Metaverse:...
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...