IA- Arkansas Investment Adviser Surety Bond Form U-SB and Continuation Certificate

The AR Investment Adviser Surety Bond Form U-SB and Continuation Certificate is a representation that an investment adviser must be authorized to transact business and complies with state and federal laws pursuant to the Arkansas Securities Act. Misuse or inappropriate handling of client funds may result in a claim on the surety bond.  The Continuation Certificate confirms that the bond has been executed by a principal of the firm and is up to date. Members also downloaded Arkansas Investment Adviser Registration Requirements or Arkansas Investment Adviser Dual Registration and Joint Supervision Requirements.

Version/Update: V.U/04/2020

Total Page Count/Format: 3/.pdf

Source/Author(s): Arkansas Securities Department Library