Securities Division Regulation

230-1535 INACTIVE RULE

There is no interactive regulation text for this version of this Part. Use the "Regulation" tab to view the text of this Part.

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 Technical Revision - effective from 01/14/2011 to 05/17/2012

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

INACTIVE RULE Periodic Refile - effective from 01/02/2002 to 01/29/2003

Rulemaking Documents are organized by document type and are part of this rule’s rulemaking record (R.I. Gen. Laws § 42-35-2.3). If multiple documents of the same type are listed below, each is a unique document. If there are multiple Public Notice of Proposed Rulemaking documents, view each document to identify the most recently amended version, as it may be amended at any point during the Public Comment Period.

There are no electronic rulemaking documents for rules filed prior to August 14, 2018. For rulemaking documents for rules filed prior to this date, please contact the appropriate agency's Rules Coordinator.