Securities Division Regulation
230-1535 INACTIVE RULE
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| Title | 230 | Department of Business Regulation (includes the Office of the Health Insurance Commissioner) |
| Chapter | XXX | Old Regulations Which Were Not Assigned Chapter-Subchap-Part |
| Subchapter | XX | Old Regulations Which Were Not Assigned Chapter-Subchap-Part |
| Part | 1535 | Securities Division Regulation |
| Type of Filing | Amendment |
| Regulation Status | Inactive |
| Effective | 03/18/2002 to 01/29/2003 |
Regulation Authority:
R.I.Gen. Laws Sections 3-5-20, 3-2-2, 42-35-1 et. seq. and 7-11-705
Purpose and Reason:
The purpose of this regulation is to provide an exemption from the broker-dealer licensing requirements for depository institutions that engage in certain third party brokerage arrangements.
INACTIVE RULE
Repeal
- effective from 08/22/2018
INACTIVE RULE
Amendment
- effective from 03/21/2013
to 08/22/2018
INACTIVE RULE
Amendment
- effective from 05/17/2012
to 03/21/2013
INACTIVE RULE
Adoption
- effective from 01/13/2011
to 01/14/2011
INACTIVE RULE
Amendment
- effective from 06/15/2010
to 01/14/2011
INACTIVE RULE
Amendment
- effective from 06/27/2004
to 06/15/2010
INACTIVE RULE
Amendment
- effective from 01/29/2003
to 06/27/2004
INACTIVE RULE
Amendment
- effective from 03/18/2002
to 01/29/2003