Rhode Island law
Securities & Finance Laws in Rhode Island.
Federal securities law ('33 Act, '34 Act, '40 Act) is administered by the SEC. Rhode Island supplements with the Rhode Island Uniform Securities Act (R.I. Gen. Laws § 7-11-101 et seq.), administered by the Department of Business Regulation, Division of Securities. The Act governs registration of securities (where not federally preempted), broker-dealers, investment advisers, and agents, and provides state anti-fraud remedies.
Last verified: 2026-04-17
State law
Key Rhode Island Statutes
Governs registration of securities and of broker-dealers, investment advisers, and agents.
Prohibits schemes to defraud, material misstatements or omissions, and fraudulent or deceitful practices in connection with securities transactions.
Buyers of securities sold in violation of the Act may sue for rescission or damages.
State law
Official Sources
Not Legal Advice
This page summarizes publicly available statutes and rules for informational purposes only. It does not constitute legal advice, and no attorney-client relationship is created by viewing this content. Laws change — always verify with the primary source or consult a licensed attorney in Rhode Island.
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