Orders

A Consent Order entered against an issuer of securities for a late exemption filing with the Department pursuant to Ark. Code. Ann. § 23-42-504(a)(9) and Rule 23 CAR § 300-504(b)(1)(I).

An order entered by the Arkansas Securities Commissioner granting a limited agent registration.

An order entered by the Arkansas Securities Commissioner granting a limited agent registration.

An order entered by the Arkansas Securities Commissioner granting a limited agent registration.

An Order entered by the Arkansas Securities Commissioner granting a limited agent registration

An Order entered summarily canceling the registration of Mercury Capital Advisors LLC, a broker-dealer firm, on the basis that they have ceased to do business as a broker-dealer as of June 23, 2025.

A Consent Order entered against an issuer of securities for a late exemption filing with the Department pursuant to Ark. Code. Ann. § 23-42-504(a)(9) and Rule 23 CAR § 300-504(b)(1)(I).

A Consent Order entered against an issuer of securities for a late exemption filing with the Department pursuant to Ark. Code. Ann. § 23-42-504(a)(13) and Rule 23 CAR § 300-504(b)(1)(M)(ii)(n).

An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.