Rhode Island CHAPTER 7-11 — Rhode Island Uniform Securities Act
- § 7-11-101 — Definitions.
- § 7-11-201 — Broker dealer and sales representative licensing.
- § 7-11-202 — Exempt broker dealers and sales representatives.
- § 7-11-203 — Investment adviser and investment adviser representative licensing.
- § 7-11-204 — Exempt investment adviser and investment adviser representatives.
- § 7-11-205 — Application.
- § 7-11-206 — Licensing and notice fees; and filing requirements for federal covered advisers.
- § 7-11-207 — Examinations.
- § 7-11-208 — Licensing.
- § 7-11-209 — Post-licensing requirements.
- § 7-11-210 — Licensing of successor firms.
- § 7-11-211 — Inspection power.
- § 7-11-212 — Grounds for denial, suspension, and revocation.
- § 7-11-213 — Denial, suspension, or revocation on grounds of lack of qualification.
- § 7-11-214 — Withdrawal.
- § 7-11-215 — Custody of clients' securities and funds.
- § 7-11-301 — Registration requirement.
- § 7-11-302 — Registration by filing.
- § 7-11-303 — Registration by coordination.
- § 7-11-304 — Registration by qualification.
- § 7-11-305 — Provisions applicable to registration generally.
- § 7-11-306 — Denial, suspension, and revocation of registration.
- § 7-11-307 — Federal covered securities.
- § 7-11-401 — Exempt securities.
- § 7-11-402 — Exempt transactions.
- § 7-11-403 — Provisions applicable to exemptions generally.
- § 7-11-404 — Filing of sales and advertising literature.
- § 7-11-501 — Offers, sales, and purchases.
- § 7-11-502 — Market manipulation.
- § 7-11-503 — Prohibited transactions by investment advisers, federal covered advisers.
- § 7-11-504 — Misleading filings.
- § 7-11-505 — Unlawful representations concerning licensing, registration, or exemption.
- § 7-11-601 — Investigations – Subpoena power.
- § 7-11-602 — Enforcement.
- § 7-11-603 — Power of court to grant relief.
- § 7-11-604 — Criminal penalties.
- § 7-11-605 — Civil liability.
- § 7-11-606 — Civil statute of limitations.
- § 7-11-607 — Rescission and settlement offers.
- § 7-11-608 — General liability provisions.
- § 7-11-701 — Administration.
- § 7-11-702 — Prohibitions on use of information.
- § 7-11-703 — Public information – Confidentiality.
- § 7-11-704 — Cooperation with other agencies.
- § 7-11-705 — Rules, forms, and orders.
- § 7-11-706 — Declaratory orders and rulings.
- § 7-11-707 — Good faith reliance.
- § 7-11-708 — Consent to service of process.
- § 7-11-709 — Administrative files and records.
- § 7-11-710 — Administrative proceedings.
- § 7-11-711 — Provisions applicable to administrative proceedings.
- § 7-11-712 — Emergency administrative proceedings.
- § 7-11-801 — Scope of chapter.
- § 7-11-802 — Contract provisions.
- § 7-11-803 — Uniformity of application and construction.
- § 7-11-804 — Short title.
- § 7-11-805 — Severability clause.
- § 7-11-806 — Repeal and saving provisions.