Rhode Island Uniform Securities Act

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  4. Rhode Island Uniform Securities Act

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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.