Broker Dealer Requirements

Proof of SEC Registration

Proof of SIPC Membership

Tangible Net Worth Equal or greater than $100 million - most recent audited financial statements

Regulatory Net Capital as Determined by the Commissioner - most recent focus report

If tangible net worth is equal to or greater than $50 million but less than $100 million, proof of SIPC excess insurance equal to or above market value of insurer assets held must be provided.

Please submit all materials and information to the attention of

Misty L. Beentjes, Financial Analyst

Arkansas Insurance Department
1200 West Third Street
Little Rock, AR 72201-1904
501-371-2834, fax 501-371-2747
misty.beentjes@arkansas.gov