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Securities

In this section, you’ll find information on how to register as a broker-dealer, agent, investment adviser representative or agent of the issuer. You can also explore other securities-related resources and learn how to research the backgrounds of brokers and firms.

Registration/Exemption:

View our available resources.

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FINRA Broker Check:

Research the backgrounds of financial brokers, firms and advisers.

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Broker Dealer/Investment Adviser:

View and download requirements, renewal applications and more.

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How to File a Complaint:

File a complaint to the Arkansas Securities Department.

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