Statutes, codes, and regulations
Rhode Island Administrative Code
Title 230 - Department of Business RegulationChapter 50 - Securities, Franchises and CharitiesSubchapter 05 - Securities
Part 2 - Post-Licensing Requirements (230-RICR-50-05-2)
Section 230-RICR-50-05-2.7 - Required Records

230 R.I. Code R. 230-RICR-50-05-2.7

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Current through October 25, 2024
Section 230-RICR-50-05-2.7 - Required Records
A. Every broker-dealer, whether or not subject to the Securities Exchange Act of 1934, shall make and keep current the records required by that Act and rules thereunder.
B. Every investment adviser, whether or not subject to the Investment Advisers Act of 1940, shall make and keep current the records required by that Act and rules thereunder.

230 R.I. Code R. 230-RICR-50-05-2.7