Rhode Island General Laws
Title 7 - Corporations, Associations and Partnerships
Chapter 7-11 - Rhode Island Uniform Securities Act

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...

Part III - Registration of Securities

Section 7-11-301. - Registration requirement. - § 7-11-301. Registration requirement. A person may not offer to...

Section 7-11-302. - Registration by filing. - § 7-11-302. Registration by filing. (a) Securities for which a...

Section 7-11-303. - Registration by coordination. - § 7-11-303. Registration by coordination. (a) Securities for which a...

Section 7-11-304. - Registration by qualification. - § 7-11-304. Registration by qualification. (a) A security may be...

Section 7-11-305. - Provisions applicable to registration generally. - § 7-11-305. Provisions applicable to registration generally. (a) A registration...

Section 7-11-306. - Denial, suspension, and revocation of registration. - § 7-11-306. Denial, suspension, and revocation of registration. (a) The...

Section 7-11-307. - Federal covered securities. - § 7-11-307. Federal covered securities. (a) The director may require...

Part IV - Exemptions from Registration

Section 7-11-401. - Exempt securities. - § 7-11-401. Exempt securities. The following securities are exempt from...

Section 7-11-402. - Exempt transactions. - § 7-11-402. Exempt transactions. The following transactions are exempt from...

Section 7-11-403. - Provisions applicable to exemptions generally. - § 7-11-403. Provisions applicable to exemptions generally. (a) The director...

Section 7-11-404. - Filing of sales and advertising literature. - § 7-11-404. Filing of sales and advertising literature. The director...

Part V - Fraudulent and Other Prohibited Practices

Section 7-11-501. - Offers, sales, and purchases. - § 7-11-501. Offers, sales, and purchases. In connection with the...

Section 7-11-502. - Market manipulation. - § 7-11-502. Market manipulation. (a) Without limiting the general applicability...

Section 7-11-503. - Prohibited transactions by investment advisers, federal covered advisers. - § 7-11-503. Prohibited transactions by investment advisers, federal covered advisers....

Section 7-11-504. - Misleading filings. - § 7-11-504. Misleading filings. In a document filed with the...

Section 7-11-505. - Unlawful representations concerning licensing, registration, or exemption. - § 7-11-505. Unlawful representations concerning licensing, registration, or exemption. (a)...

Part VI - Enforcement and Civil Liability

Section 7-11-601. - Investigations — Subpoena power. - § 7-11-601. Investigations — Subpoena power. (a) The director may...

Section 7-11-602. - Enforcement. - § 7-11-602. Enforcement. (a) If the director reasonably believes, whether...

Section 7-11-603. - Power of court to grant relief. - § 7-11-603. Power of court to grant relief. (a) Upon...

Section 7-11-604. - Criminal penalties. - § 7-11-604. Criminal penalties. (a) A person who willfully violates...

Section 7-11-605. - Civil liability. - § 7-11-605. Civil liability. (a) A person who offers or...

Section 7-11-606. - Civil statute of limitations. - § 7-11-606. Civil statute of limitations. No person may obtain...

Section 7-11-607. - Rescission and settlement offers. - § 7-11-607. Rescission and settlement offers. (a) No purchaser may...

Section 7-11-608. - General liability provisions. - § 7-11-608. General liability provisions. (a) Except as provided in...

Part VII - Administration

Section 7-11-701. - Administration. - § 7-11-701. Administration. This chapter is administered by the director....

Section 7-11-702. - Prohibitions on use of information. - § 7-11-702. Prohibitions on use of information. Neither the director...

Section 7-11-703. - Public information — Confidentiality. - § 7-11-703. Public information — Confidentiality. (a) Except as provided...

Section 7-11-704. - Cooperation with other agencies. - § 7-11-704. Cooperation with other agencies. (a) To encourage uniform...

Section 7-11-705. - Rules, forms, and orders. - § 7-11-705. Rules, forms, and orders. (a) In addition to...

Section 7-11-706. - Declaratory orders and rulings. - § 7-11-706. Declaratory orders and rulings. (a) Any person may...

Section 7-11-707. - Good faith reliance. - § 7-11-707. Good faith reliance. No provision of this chapter...

Section 7-11-708. - Consent to service of process. - § 7-11-708. Consent to service of process. (a) An applicant...

Section 7-11-709. - Administrative files and records. - § 7-11-709. Administrative files and records. (a) The director keeps...

Section 7-11-710. - Administrative proceedings. - § 7-11-710. Administrative proceedings. (a) The director may commence an...

Section 7-11-711. - Provisions applicable to administrative proceedings. - § 7-11-711. Provisions applicable to administrative proceedings. (a) All actions...

Section 7-11-712. - Emergency administrative proceedings. - § 7-11-712. Emergency administrative proceedings. (a) The director may use...

Part VIII - Miscellaneous Provisions

Section 7-11-801. - Scope of chapter. - § 7-11-801. Scope of chapter. (a) Sections 7-11-201, 7-11-301, 7-11-307,...

Section 7-11-802. - Contract provisions. - § 7-11-802. Contract provisions. (a) No person subject to this...

Section 7-11-803. - Uniformity of application and construction. - § 7-11-803. Uniformity of application and construction. This chapter shall...

Section 7-11-804. - Short title. - § 7-11-804. Short title. This chapter may be cited as...

Section 7-11-805. - Severability clause. - § 7-11-805. Severability clause. If any provision of this chapter...

Section 7-11-806. - Repeal and saving provisions. - § 7-11-806. Repeal and saving provisions. (a) Law repealed by...

<< Previous

Next >>

Rhode Island General Laws Title 7 - Corporations, Associations and Partnerships Chapter 7-11 - Rhode Island Uniform Securities Act

Rhode Island General Laws
Title 7 - Corporations, Associations and Partnerships
Chapter 7-11 - Rhode Island Uniform Securities Act