Arkansas — Investment Agent Of The Issuer Bond
Arkansas requires a registered agent of an issuer to maintain a $25,000 surety bond. The agent's registration application goes directly to the Securities Commissioner and includes the bond. Match the individual agent and issuer affiliation before applying.
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- Recorded state
- Arkansas
- Bond type
- Broker-Dealer / Investment Adviser Bond
- Category
- Financial services
What this bond does
The published uniform securities bond has a distinct issuer-agent capacity. It secures registration and strict compliance with Arkansas's Securities Act and rules. It is separate from the issuer's securities offering and from a broker-dealer's FINRA fidelity requirement.
- Who needs it
- An individual applying or registered to represent an issuer in securities transactions when issuer-agent registration is required. Confirm that status and the actual registered agent's name rather than putting only the issuing company's name on the application.
- Who it protects
- The uniform undertaking acknowledges an obligation to people with claims under the Securities Act and permits direct suit against the principal or surety. Its aggregate limits total liability across claimants. The Department's role in receiving the bond does not change that stated claimant obligation.
Your bond option
This is the option on record for this bond.
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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: issuer-agent applications and bonds (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: agent definition and section 23-42-305 (opens in a new tab)Checked October 26, 2026
Have these ready
- Identify the individual registered agent and the issuer represented.
- Confirm registration is required and obtain the direct filing instructions.
- Prepare Form U4, background-check proof and applicable examination materials.
- Match issuer-agent capacity, the $25,000 sum and effective entries.
- Complete the principal acknowledgment and submit the bond with the required materials.
Questions about this bond
Is the issuer company the same as the registered agent?
The Act defines an agent as an individual and provides specific exclusions. This filing concerns the individual acting for an issuer when registration is required. Match that registered principal and the issuer relationship; do not assume the company's securities filing replaces the agent's registration.
Do I use the broker-dealer agent's CRD route?
Rule 300-303 directs an initial issuer-agent application to the Commissioner. It separately directs agents of FINRA broker-dealers through CRD. Confirm the actual capacity before following either filing route.
What follows Purchase Now?
Propeller's Arkansas investment agent-of-the-issuer application opens in a new tab. Match the individual agent, issuer-agent capacity, claimant obligation, $25,000 sum and dates. Review and execute the undertaking and acknowledgment, then submit it with the Commissioner's required materials. Purchase does not complete registration.