Legal Archive - Page 9 of 181 - Arkansas Securities Department

Sentinel Advisors, LLC and Adam C. Smith

A Consent Order revoking the investment adviser registration of Sentinel Advisors, LLC (CRD No. 291606), and...

A Consent order revoking the broker-dealer agent registration of Daniel J. Lauletta, CRD No. 2659123, for...

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

Arkansas Securities Act effective August 1, 2023

Fair Mortgage Lending Act effective August 1, 2023

Money Services Act effective August 1, 2023

Arkansas Savings and Loan Association Act effective July 24, 2019

Amends the Savings and Loan Assn. Act, effective July 28, 2021

Arkansas Credit Union Act effective July 24, 2019