Insider Trading of Domestic Stock Insurance Company Equity Securities (230-RICR-20-45-5)
230-RICR-20-45-5 ACTIVE RULE
5.1Definitions of Certain Terms.
5.2Definition of Securities "Held of Record."
5.3Transactions Exempted from the Operation of R.I. Gen. Laws § 27-1-30
5.4Reports of Directors, Officers and Principal Stockholders – Filing of Statements.
5.5Ownership of More than Ten Percent of an Equity Security.
5.6Disclaimer of Beneficial Ownership.
5.7Exemption from R.I. Gen. Laws §§ 27-1-29 and 27-1-30.
5.8Exemptions from the Act of Securities Purchased or Sold by Odd Lot Dealers.
5.9Certain Transactions Subject to R.I. Gen. Laws § 27-1-29.
5.10Ownership of Securities Held in Trust.
5.11Exemption for Small Transactions.
5.12Exemption from R.I. Gen. Laws § 27-1-30 of the Act of Transactions Which Need Not Be Reported under R.I. Gen. Laws § 27-1-29.
5.13Exemption from R.I. Gen. Laws § 27-1-30 of Certain Transactions Effected in connection with a Distribution.
5.14Exemption from R.I. Gen. Laws § 27-1-30 of Acquisitions of Shares of Stock and Stock Options under Certain Stock Bonus, Stock Option or Similar Plans.
5.15Exemption from R.I. Gen. Laws § 27-1-30 of Certain Transactions in Which Securities are Received by Redeeming Other Securities.
5.16Exemption of Long Term Profits Incident to Sales Within Six Months of the Exercise of an Option.
5.17Exemption from R.I. Gen. Laws § 27-1-30 of Certain Acquisitions and Dispositions of Securities Pursuant to Merger or Consolidations.
5.18Exemption from R.I. Gen. Laws § 27-1-30 of Certain Securities Received Upon Surrender of Similar Equity Securities.
5.19Exemption from R.I. Gen. Laws § 27-1-30 of Certain Transactions Involving an Exchange of Similar Securities.
5.20Exemption of Certain Securities from R.I. Gen. Laws § 27-1-31.
5.21Exemption from R.I. Gen. Laws § 27-1-31 of Certain Transactions Effected in connection with a Distribution.
5.22Exemption of Sales of Securities To Be Acquired from R.I. Gen. Laws § 27-1-31.
5.23Arbitrage Transactions under R.I. Gen. Laws § 27-1-33.
|Department of Business Regulation (includes the Office of the Health Insurance Commissioner)
|Financial Standards and Corporate Operations
|Insider Trading of Domestic Stock Insurance Company Equity Securities (230-RICR-20-45-5)
|Type of Filing
R.I. Gen. Laws § 27-1-33
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.