State Codes and Statutes
Statutes > Rhode-island > Title-7 > Chapter-7-11
§ 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.
State Codes and Statutes
Statutes > Rhode-island > Title-7 > Chapter-7-11
§ 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.
State Codes and Statutes
Statutes >
Rhode-island >
Title-7 >
Chapter-7-11§ 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.
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