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

230-RICR-50-05-2 ACTIVE RULE

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2.3Severability Provisions

2.4 Definitions

2.5Expiration of Licenses

2.6Post-Licensing Filings

2.7Required Records

2.8Successor Firms

2.9Inspection Fees

2.10Unethical and Dishonest Practices

2.11Adviser Custody Conditions – Federally Registered

2.12Adviser Custody Conditions – Federally Exempt

2.13Senior-Specific Certification and Professional Designations

2.14Sale of Securities at Financial Institutions

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 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.