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2021 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.
Disclaimer: These codes may not be the most recent version. Rhode Island may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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