Securities Division Contact Securities via our Online Inquiry System or via email [email protected] Contact Charities via our Online Inquiry System or via email [email protected] Bulletin 2024-01 — Proposed Rule-Making Change to Regulation 230-RICR-50-05-2 Beware of Romance Scams - February 2024 PDF file, less than 1mbmegabytes Bulletin 2021-3 — Protecting Your Online Accounts Protecting Your Online Accounts PDF file, less than 1mbmegabytes Reporting Senior Financial Exploitation The Securities Division has published a form to assist financial firms in reporting critical information about the suspected exploitation of elderly and vulnerable adults. The reporting is required pursuant to R.I.G.L. § 7-11.2 Senior Savings Protection Act. If you suspect an elderly or vulnerable adult you know is being exploited, this link connects you to our reporting form and to educational links. Program Operations Securities Regulation is responsible for the registration of certain securities, the licensing and regulation of broker dealers, sales representatives, certain investment advisers and certain investment adviser representatives. The division is also responsible for enforcing compliance with the state's Franchise Investment Act, the registration of charitable and fund-raising groups and the states' Real Estate Time-Share Act. The division has annually processed approximately 60,584 licenses and 7,412 registrations, conducted on-site examinations of broker-dealers and investment advisers, and initiated investigations and enforcement actions pursuant to applicable state and federal laws and regulations. Program Objectives Enforce compliance with the applicable provisions of state laws and regulations related to the securities industry, franchises, charities, fund-raisers and time-shares. Statutory History The division is charged with the administration and enforcement of the Rhode Island Uniform Securities Act ("RIUSA"), R.I. Gen. Laws 7-11; the Franchise Investment Act, R.I. Gen. Laws 19-28.1; the Charitable Solicitation Act, R.I. Gen. Laws 5-53.1; and the Real Estate Time-Share Act, R.I. Gen. Laws 34-41. Related Information and Documents Important Bulletins and Notices Documents Informed Investor Advisory—Bank to the Future: Decentralized Finance (DeFi) Defined PDF file, less than 1mbmegabytes Informed Investor Advisory: Social Media, Online Trading and Investing 2021 PDF file, about 4mbmegabytes Informed Investor Advisory: COVID-19 Related Investment Schemes Anticipated PDF file, about 6mbmegabytes Informed Investor Advisory: Marijuana Related Investments PDF file, less than 1mbmegabytes Informed Investor Advisory: Promissory Notes PDF file, less than 1mbmegabytes Securities Notice: Notice of Fee Increase for Federal Covered Securities — Effective July 1, 2018 PDF file, less than 1mbmegabytes
Bulletin 2021-3 — Protecting Your Online Accounts Protecting Your Online Accounts PDF file, less than 1mbmegabytes
Informed Investor Advisory—Bank to the Future: Decentralized Finance (DeFi) Defined PDF file, less than 1mbmegabytes
Informed Investor Advisory: Social Media, Online Trading and Investing 2021 PDF file, about 4mbmegabytes
Informed Investor Advisory: COVID-19 Related Investment Schemes Anticipated PDF file, about 6mbmegabytes
Securities Notice: Notice of Fee Increase for Federal Covered Securities — Effective July 1, 2018 PDF file, less than 1mbmegabytes