Arkansas — Investment Adviser Bond
Arkansas's current securities rules call for a $50,000 bond when an investment adviser has custody of customer funds or securities, with a qualified fee-deduction-only exception. A separate home-state exemption may apply. Match the actual custody arrangements and registered firm before using this offering.
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- Recorded state
- Arkansas
- Bond type
- Broker-Dealer / Investment Adviser Bond
- Category
- Financial services
What this bond does
The Department's uniform undertaking secures the principal's registration and strict compliance with the Arkansas Securities Act and Rules. It must identify the investment-adviser capacity; a shared uniform form does not make dealer or issuer-agent requirements interchangeable.
- Who needs it
- The advisory firm satisfying the Arkansas Securities Department's covered custody requirement. Identify the principal place of business, home-state registration, custody arrangements and representatives included in the file.
- Who it protects
- The uniform form acknowledges indebtedness to people with an Arkansas Securities Act claim. It permits an action against the principal or surety, with all claimants sharing the aggregate sum. Follow those stated roles rather than assigning a creditor solely from the Department's mailing address.
Your bond option
This is the option on record for this bond.
- Bond optionPurchase Now (opens in a new tab)Continue to our secure checkout partner, Propeller (opens in a new tab).
The bond amount describes the limit of the bond obligation, not the price. A listed amount does not establish what the requesting party requires. The premium is what you pay and must be confirmed for the actual option. An E&O limit, where listed, is separate errors and omissions insurance.
Sources
- Arkansas securities rules: 23 CAR 300-303 and 300-306 (opens in a new tab)Checked October 26, 2026
- Arkansas Securities Department: uniform surety bond (opens in a new tab)Checked October 26, 2026
- Arkansas Securities Act: section 23-42-305 (opens in a new tab)Checked October 26, 2026
Have these ready
- Identify the adviser entity, representatives and principal place of business.
- Document custody, fee-deduction safeguards and any home-state exemption.
- Match the required $50,000 adviser obligation and effective entries.
- Complete the uniform form in the investment-adviser capacity.
- Arrange signatures, principal acknowledgment and Department proof-of-coverage filing.
Questions about this bond
Do advisory-fee deductions always require a bond?
The current rule has an exception for custody solely from direct fee deductions when its referenced safeguards and recordkeeping requirements are met. Describe the actual arrangements to the Department rather than treating any fee deduction as an automatic exemption.
Does Uniform mean the same requirement for every financial role?
The form covers a designated capacity. The current rule distinguishes adviser custody security, broker-dealer fidelity requirements and issuer-agent security. This offering remains an investment-adviser bond; do not use another role's sum or label for the firm.
What does Purchase Now open?
It opens Propeller's Arkansas investment-adviser application in a new tab. Match the firm, accepted adviser capacity, $50,000 requirement and confirmed dates. Review and execute the issued undertaking with the acknowledgment, then submit it and required coverage evidence to the Department as directed.