Small Cap Registration
Broker/Dealer Requirements: Dealers must be registered with the state using Form BD.
Filing Fees: A filing fee must be paid 1/10 of 1% of the aggregate offerings, to be made to Arkansas. The fee shall be no less than $150 and no more than $2,000 maximum.
Official Recognition: Must file a registration by qualification.
Forms: U-1, U-2, U-2A, Application to register by qualification.
Date Last Modified:8/20/97
Regulatory Contact:
Contact:
Tom C. Bull/ Securities Examiner Supervisor
Address:
Heritage West Building, 201 East Markham, suite 300
Little Rock AR 72201
Phone:
201/324-9260
Fax:
501/324-9268
Email:
Tom C. Bull/ Securities Examiner Supervisor
