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... Read More
REGISTRANT NOTICE – Temporary Regulatory Relaxation REGISTRANT NOTICE – Temporary Regulatory Relaxation The thoughts of our Staff are with industry in Arkansas... 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
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). Read More
Securities Renewals 2023 Annual Registration Renewal Fees Due Securities dealer and investment adviser registrations and notice filings for investment... Read More
Bankruptcy Cases Highlight Risks of Cryptocurrencies LITTLE ROCK—The Arkansas Securities Department (ASD) cautions Arkansans to exercise extreme caution when deciding to invest,... Read More
The ASD shares resources for new job LITTLE ROCK – The Arkansas Securities Department (ASD) offers resources from the Investor Protection Trust for... Read More
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:... 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