Securities Rule 501-1 - Senior Specific Certifications

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 Rule 501-1 - Senior Specific Certifications

Type of Filing	Adoption
Regulation Status	Inactive
Effective	01/13/2011 to 01/14/2011

Regulation Authority:

R.I. Gen. Laws § 7-11-101 et seq

Purpose and Reason:

The purpose of this amendment is to add Rule 501-1 relating to Senior-Specific Certifications and Professional Designations. The Rule is designed to ensure that sales persons using a “certified senior” designation to sell securities and other investment products to seniors are eminently qualified through a recognized accredited professional development program, offered by a reputable credentialing organization, that is designed to address the specific needs of that population.

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.