Dixie Crossroads, LLC
Request for an interpretation of the word “person” as that term is used in Rule 504.01(A)(12)(a)...
GUS BLASS, II
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
TRINITY COURT PLACE LIMITED PARTNERSHIP
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
COMMUNITY BANK LIFE & HEALTH INSURANCE COMPANY
Order exempting the offer and sale of certain securities pursuant to Ark. Code Ann. § 23-42-504(a)(12).
MILLENNIUM CAPITAL ADVISORS, INC.
Request for the Department’s position regarding the propriety of payment by a registered investment adviser to...
FTN ASSOCIATES, LTD.
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
UNIQUE FINANCIAL CONCEPTS, INC.; STEVEN SILVERSTEIN AND ALL PERSONS IN CONTROL OF, EMPLOYEED BY OR OTHERWISE AFFILIATED WITH THOSE PERSONS OR ENTITIES
Cease and Desist Order for transacting business as a broker-dealer or agent without being registered and...
THE ARKANSAS MODEL ACCREDITED INVESTORS EXEMPTION
Order exempting certain offers and sales of securities solely to accredited investors pursuant to Ark. Code...