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 adviser 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.