CHAPTER 7-11
Rhode Island Uniform Securities Act

Index Of Sections

§ 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 advisers 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.