Corporations, Associations, and Partnerships
Rhode Island Uniform Securities Act
Exemptions from Registration
R.I. Gen. Laws § 7-11-404
§ 7-11-404. Filing of sales and advertising literature.
The director may require by rule or order the filing of a prospectus, pamphlet, circular, form letter, advertisement, or other sales literature or advertising communication addressed or intended for distribution to prospective investors, including clients or prospective clients of an investment adviser or federal covered adviser, unless the security or transaction is exempt under § 7-11-401 or 7-11-402 or is a federal covered security.
History of Section.
P.L. 1990, ch. 460, § 2; P.L. 1997, ch. 69, § 1.