The Arkansas Agreement of Joint Supervision for Dual Registration is a document that establishes a joint supervisory relationship between two regulatory agencies (the Arkansas Securities Department and the Financial Industry Regulatory Authority) in order to provide dual registration for securities brokers in Arkansas. Dual registration allows securities brokers to be regulated and supervised by both agencies, and to be members of both the Arkansas Securities Department and the Financial Industry Regulatory Authority. The Arkansas Agreement of Joint Supervision for Dual Registration outlines the responsibilities of the two regulatory agencies, including the enforcement of state and federal securities laws, the oversight of investment advisers, the monitoring of registered broker-dealers and the examination of securities brokers. It also outlines the procedures for dual registration, including the filing of a written application, the submission of financial statements and the payment of fees. There are two types of Arkansas Agreement of Joint Supervision for Dual Registration: the Full-Service Agreement and the Limited-Service Agreement. The Full-Service Agreement grants securities brokers the right to offer both investment advisory services and broker-dealer services. The Limited-Service Agreement grants securities brokers the right to offer only broker-dealer services. Both agreements require the completion of an initial registration process, the payment of a fee and periodic renewal.
Arkansas Agreement of Joint Supervision for Dual Registration
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How to fill out Arkansas Agreement Of Joint Supervision For Dual Registration?
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