Order declaring registration effective pursuant to Ark. Code Ann. § 23-42-403.
STEPHENS, INC.
01/27/2004
Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent.
MORGAN KEEGAN COMPANY, INC.
01/27/2004
Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent.
DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO ANN MCDOUGAL, DEPUTY COMMISSIONER
01/15/2004
GUS BLASS, II
12/16/2003
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
OUACHITA REGIONAL DIAGNOSTIC & SURGERY CENTER, INC.
11/12/2003
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9).
PHILLIP DARREN SHOCKEY A/K/A PHILLIP DAREN SHOCKEY
11/07/2003
Cease and Desist Order issued for Phillip Shockey to immediately cease and desist from transacting any business of a mortgage loan company or loan broker in Arkansas.
CITIGROUP GLOBAL MARKETS INC. (FORMERLY KNOWN AS SALOMON SMITH BARNEY INC.)
11/05/2003
Consent Order as the result of a multi-state task force investigating the equity research practices.
U.S. BANCORP PIPER JAFFRAY INC.
11/05/2003
Consent Order as the result of a multi-state task force investigating the equity research practices.