GRUNTAL & CO., LLC
Request for no action position not to require registration of the retired agents who participate in...
MASTERS FINANCIAL GROUP, INC.
Summary Order suspending registration pursuant to Ark. Code Ann. § 23-42-308(c)(1) and Rule 601.07(B).
ZENITH INVESTMENT GROUP DONALD FOSS AND DENNIS EARL WILLIAMS
Cease and Desist Order for sale of unregistered securities.
CREWS AND ASSOCIATES
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
DESIGNS IN GLASS, INC.
Request that no enforcement action be taken involving 100% sale of business, seller will maintain position...
MARK VIII CORPORATION – JAMES MOORE
Requesting no action that registration as an investment adviser is not needed when advice is given...
PERSONS EFFECTING CERTAIN TRANSACTIONS IN COVERED SECURITIES
Order exempting persons who effect certain transactions in covered securities from the definition of agent pursuant...
COVERED SECURITIES PURSUANT TO SECTION 18(b) AND 18(b)(4)(D) OF THE FEDERAL SECURITIES ACT OF 1933
Order waiving requirements pursuant to Ark. Code Ann. § 23-42-509(f).