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SCHEDULE a Arkansas Securities Department State of Arkansas Form
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People also ask
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Who must register with the SEC?
Most "brokers" and "dealers" must register with the SEC and join a "self-regulatory organization," or SRO. This section covers the factors that determine whether a person is a broker or dealer.
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Who needs to comply with the SEC?
Anyone working and operating in the securities industry must practice SEC compliance. This includes: Companies that are selling securities, as defined by the SEC. Officers, directors, and principal stockholders of publicly owned companies.
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What are the CE requirements for IAR in Arkansas?
Rule 302.02(m) of the Arkansas Securities Commissioner, entitled “Investment Adviser Representative Continuing Education”, mandates every investment adviser representative (IAR) to annually complete 12 continuing education (CE) credits to maintain their IAR registration.
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Which type of advisers must be registered with the SEC?
While there are some exceptions, in general, investment advisors with $100 million or greater in regulatory assets under management (AUM) must register with the SEC as Registered Investment Adviser (RIA).
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Who has to file with the SEC?
The Securities and Exchange Commission (SEC) requires public companies, certain company insiders, and broker-dealers to file periodic financial statements and other disclosures. Finance professionals and investors rely on SEC filings to make informed decisions when evaluating whether to invest in a company.
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Who has to be registered with the SEC?
In general, all securities offered in the United States must be registered with the SEC or must qualify for an exemption from the registration requirements.
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What does Arkansas Securities Department do?
The Arkansas Securities Department provides responsible oversight of securities and financial industries in Arkansas while simultaneously working to protect consumers and educate investors. In this capacity, the Department regulates a variety of financial services, products, and professionals.
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