Post-Licensing Requirements (230-RICR-50-05-2)

230-RICR-50-05-2 PROPOSED RULE

Title 230 Department of Business Regulation (includes the Office of the Health Insurance Commissioner)
Chapter 50 Securities, Franchises and Charities
Subchapter 05 Securities
Part 2 Post-Licensing Requirements (230-RICR-50-05-2)
Type of Filing Amendment
Regulation Status Proposed
Filing Notice Date 08/05/2024
Public Comment Dates 08/05/2024 to 09/06/2024

Regulation Authority:

R.I. Gen. Laws § 7-11-705

Purpose and Reason:

The Securities Division is proposing this amendment to adopt the North American Securities Supervisor Association (NASAA) model rule requiring Investment Adviser Representatives to complete continuing education.  The NASAA model rule and this amendment is intended to help investment adviser representatives better serve their clients by remaining knowledgeable of current regulatory compliance requirements and best practices in their areas of expertise.  

0

Comment(s) Received*

The agency is not accepting online public comments for this filing.To submit a comment, please contact the agency directly at the addresses listed on the Notice of Proposed Rulemaking.

* This count refers to the total comment submissions received on this document, as of 11:59 PM yesterday.
Note: Agencies review all submissions; however, some agencies may choose to withhold certain submissions such as those containing private or sensitive information, profane or threatening language, or duplicate/near duplicate examples of a mass-mail campaign. This can result in discrepancies between this count and the actual number of comments displayed on this page. For specific information about a comment you submitted, please contact the agency directly.


Home
RICR FAQs

Search Regulations