Pre-Licensing Requirements (230-RICR-50-05-1)

230-RICR-50-05-1 ACTIVE RULE

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1.3Severability Provisions


1.5Broker-Dealer Exemptions

1.6Exempt Investment Adviser Representatives

1.7Exemption of Certain Broker-Dealers, Investment Advisers, and Sales Representatives Using the Internet for General Dissemination of Information on Products and Services

1.8Registration Exemption for Investment Advisers to Private Funds

1.9Licensing Applications

1.10Multiple Licensing of Sales Representatives

1.11Multiple Licensing of Investment Advisers

1.12 Multiple Licensing of Sales Representatives and Investment Advisers with Unaffiliated Firms


1.14Minimum Net Capital

1.15Broker-Dealer Bond

Title 230 Department of Business Regulation (includes the Office of the Health Insurance Commissioner)
Chapter 50 Securities, Franchises and Charities
Subchapter 05 Securities
Part 1 Pre-Licensing Requirements (230-RICR-50-05-1)
Type of Filing Periodic Refile
Regulation Status Active
Effective 01/04/2022

Regulation Authority:

R.I. Gen. Laws § 7-11-705

Purpose and Reason:

This rule is being refiled by the agency pursuant to R.I. Gen. Laws § 42-35-4.1.  No changes were made to the text of this rule.