STEPHENS INVESTMENT PARTNERS III, LLC.
Order providing a waiver of the number of purchasers pursuant to Ark. Code Ann. § 23-42-504(a)(9)(B).
DUNN INSURANCE AGENCY, INC. CITIZENS BANK AND TRUST WESTERN BANCSHARES, INC.
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
J.P. TURNER & COMPANY, LLC., STEPHEN CARCATERRA, AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THE RESPONDENTS WHOSE IDENTITY IS UNKNOWN
Amended Cease and Desist Order for transacting business as a broker-dealer or agent without being registered.
WARREN SWIFT LTD.
Request for a no action regarding the organization of a limited partnership under Rule 504.01(A)(12)(a) of...
GULF POWER COMPANY
Order extending exemption period of certain securities pursuant to Ark. Code Ann. § 23-42-503(a)(5).
UNIVERSITY ALUMNI FUNDS, LLC
Request for no action position regarding exemption of registration for University Alumni Funds, LLC as a...
HUGHES TRANSPORT, INC.
Request that no enforcement action be taken involving sale of a business pursuant to Rule 504.01(A)(12)(1)...
PROGRESSIVE NATIONAL MORTGAGE COMPANY, LLC.
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
ARKANSAS WOMEN’S HEALTH CENTER, INC.
Order providing a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12).