Arkansas Revises its Securities Rules

Arkansas rule changes pertaining to federal covered securities; exemptions from securities registration; registration of securities; registration and post-registration requirements for broker-dealers, agents, investment advisers and investment adviser representatives, notice filings for federal covered investment advisers; and administrative procedures for conducting investigations and hearings, and reviewing exemption filings were adopted by the Arkansas Securities Department, effective November 1, 2009.

It is unlikely there will be any additional changes to the proposed rule text so consider the text under "proposed rules" here to be the final version. But for confirmation of this or for any other questions pertaining to the proposals, please contact Deputy Commissioner Ann McDougal at (501) 324-8685 or here.

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