23 CAR § 300-311

23 CAR § 300-311. Protections of vulnerable adults from financial exploitation

Length: 43 wordsOfficial source
The term “individual” used in Arkansas Code § 23-42-309 of the Arkansas Securities Act, Arkansas Code § 23-42-101 et seq., means any agent, investment adviser representative, or person who serves in a supervisory, compliance, or legal capacity for a broker-dealer or investment adviser.
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