BD- Arkansas Broker-Dealer Surety Bond Form U-SB and Continuation Certificate

The AR Broker-Dealer Surety Bond Form U-SB and Continuation Certificate is a representation that a broker-dealer 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 Broker-Dealer and Broker-Dealer Agent Registration Requirements or Arkansas Broker-Dealer 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