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2023 Rhode Island General Laws
Title 7 - Corporations, Associations and Partnerships
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.
- 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.
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