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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:
The Solvency and Regulation Division, Assistant Chief Analyst
Arkansas Insurance Department – Finance Division
1 Commerce Way
Little Rock, AR 72202-2087
Phone: 501-371-2665
Fax: 501-371-2747
Email: [email protected]