Broker Dealers Approved as Custodians

Bank Custodian Agreement

Broker Dealer Custodial Agreement

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 Finance Division, Assistant Manager of Financial Analysis

Arkansas Insurance Department – Finance Division
1200 West Third Street 
Little Rock, AR 72201-1904 
501-371-2838, fax 501-371-2747 
Insurance.Finance@arkansas.gov

Rule 26

For questions, please click here or call 501-371-2838