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Licensing of Broker-Dealers, Sales Representatives, and Investment Advisers and Investment Adviser Representatives | Midpage
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Rhode Island General Laws
Title 7
Chapter 7-11
II
Licensing of Broker-Dealers, Sales Representatives, and Investment Advisers and Investment Adviser Representatives
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