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2019 Rhode Island General Laws
Title 7 - Corporations, Associations and Partnerships
Chapter 7-11 Rhode Island Uniform Securities Act
- Section 7-11-101 Definitions.
- Section 7-11-201 Broker-dealer and sales representative licensing.
- Section 7-11-202 Exempt broker-dealers and sales representatives.
- Section 7-11-203 Investment adviser and investment adviser representative licensing.
- Section 7-11-204 Exempt investment advisers and investment adviser representatives.
- Section 7-11-205 Application.
- Section 7-11-206 Licensing and notice fees; and filing requirements for federal covered advisers.
- Section 7-11-207 Examinations.
- Section 7-11-208 Licensing.
- Section 7-11-209 Post-licensing requirements.
- Section 7-11-210 Licensing of successor firms.
- Section 7-11-211 Inspection power.
- Section 7-11-212 Grounds for denial, suspension, and revocation.
- Section 7-11-213 Denial, suspension, or revocation on grounds of lack of qualification.
- Section 7-11-214 Withdrawal.
- Section 7-11-215 Custody of clients' securities and funds.
- Section 7-11-301 Registration requirement.
- Section 7-11-302 Registration by filing.
- Section 7-11-303 Registration by coordination.
- Section 7-11-304 Registration by qualification.
- Section 7-11-305 Provisions applicable to registration generally.
- Section 7-11-306 Denial, suspension, and revocation of registration.
- Section 7-11-307 Federal covered securities.
- Section 7-11-401 Exempt securities.
- Section 7-11-402 Exempt transactions.
- Section 7-11-403 Provisions applicable to exemptions generally.
- Section 7-11-404 Filing of sales and advertising literature.
- Section 7-11-501 Offers, sales, and purchases.
- Section 7-11-502 Market manipulation.
- Section 7-11-503 Prohibited transactions by investment advisers, federal covered advisers.
- Section 7-11-504 Misleading filings.
- Section 7-11-505 Unlawful representations concerning licensing, registration, or exemption.
- Section 7-11-601 Investigations - Subpoena power.
- Section 7-11-602 Enforcement.
- Section 7-11-603 Power of court to grant relief.
- Section 7-11-604 Criminal penalties.
- Section 7-11-605 Civil liability.
- Section 7-11-606 Civil statute of limitations.
- Section 7-11-607 Rescission and settlement offers.
- Section 7-11-608 General liability provisions.
- Section 7-11-701 Administration.
- Section 7-11-702 Prohibitions on use of information.
- Section 7-11-703 Public information - Confidentiality.
- Section 7-11-704 Cooperation with other agencies.
- Section 7-11-705 Rules, forms, and orders.
- Section 7-11-706 Declaratory orders and rulings.
- Section 7-11-707 Good faith reliance.
- Section 7-11-708 Consent to service of process.
- Section 7-11-709 Administrative files and records.
- Section 7-11-710 Administrative proceedings.
- Section 7-11-711 Provisions applicable to administrative proceedings.
- Section 7-11-712 Emergency administrative proceedings.
- Section 7-11-801 Scope of chapter.
- Section 7-11-802 Contract provisions.
- Section 7-11-803 Uniformity of application and construction.
- Section 7-11-804 Short title.
- Section 7-11-805 Severability clause.
- Section 7-11-806 Repeal and saving provisions.
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