Rhode Island General Laws
Chapter 7-11 - Rhode Island Uniform Securities Act
Part II - Licensing of Broker-Dealers, Sales Representatives, and Investment Advisers and Investment Adviser Representatives

Section 7-11-201. - Broker-dealer and sales representative licensing. - § 7-11-201. Broker-dealer and sales representative licensing. (a) No person...

Section 7-11-202. - Exempt broker-dealers and sales representatives. - § 7-11-202. Exempt broker-dealers and sales representatives. (a) The following...

Section 7-11-203. - Investment adviser and investment adviser representative licensing. - § 7-11-203. Investment adviser and investment adviser representative licensing. (a)...

Section 7-11-204. - Exempt investment advisers and investment adviser representatives. - § 7-11-204. Exempt investment advisers and investment adviser representatives. The...

Section 7-11-205. - Application. - § 7-11-205. Application. (a) An applicant for licensing as a...

Section 7-11-206. - Licensing and notice fees; and filing requirements for federal covered advisers. - § 7-11-206. Licensing and notice fees; and filing requirements for...

Section 7-11-207. - Examinations. - § 7-11-207. Examinations. (a) The director may by rule or...

Section 7-11-208. - Licensing. - § 7-11-208. Licensing. (a) Unless a proceeding under § 7-11-212...

Section 7-11-209. - Post-licensing requirements. - § 7-11-209. Post-licensing requirements. (a)(1) The director may require by...

Section 7-11-210. - Licensing of successor firms. - § 7-11-210. Licensing of successor firms. (a) A licensed broker-dealer...

Section 7-11-211. - Inspection power. - § 7-11-211. Inspection power. (a) Without previous notice, the director...

Section 7-11-212. - Grounds for denial, suspension, and revocation. - § 7-11-212. Grounds for denial, suspension, and revocation. (a) The...

Section 7-11-213. - Denial, suspension, or revocation on grounds of lack of qualification. - § 7-11-213. Denial, suspension, or revocation on grounds of lack...

Section 7-11-214. - Withdrawal. - § 7-11-214. Withdrawal. (a) An application for a license may...

Section 7-11-215. - Custody of clients’ securities and funds. - § 7-11-215. Custody of clients’ securities and funds. Unless prohibited...