Www.securities.arkansas.gov



Agent of a Broker Dealer Registration Requirements

It is unlawful for any person to act as a securities agent for a broker-dealer unless he is registered with this Department. Applicants for registration must take and pass at least two examinations in order to test their knowledge of the securities business, the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner. These examinations are a Securities General Knowledge Examination and the Uniform Securities Agent State Law Examination. The broker-dealer that is employing the agent will submit a Uniform Application for Securities Industry Registration ("Form U-4") along with a $75 registration fee to the Central Registration Depository System ("CRD") that is maintained by the National Association of Securities Dealers ("FINRA"). All applicants must submit a legible set of fingerprints to the CRD System that will be processed by the Federal Bureau of Investigation ("FBI"). Notification by the CRD System will be given to each broker-dealer evidencing the agent’s registration.

Securities Examination Study Courses

BISYS EDUCATION SERVICES

1-800-824-8742

Fax: 312-577-2463



SECURITIES TRAINING CORPORATION

1-800-782-1223

Fax: 212-269-9037



INVESTMENT TRAINING INSTITUTE

1-800-955-7055

Fax: 770-659-6010



Securities Examination Testing Centers

PROMETRIC TESTING CENTER

501-663-8280

1405 N. Pierce Street

Forest Heights Building, Suite 203

Little Rock, AR 72207

PROMETRIC TESTING CENTER

479-484-0702

2409 S. 56th Street, Suite 117

Fort Smith, AR 72903

................
................

In order to avoid copyright disputes, this page is only a partial summary.

Google Online Preview   Download