230 R.I. Code R. 230-RICR-50-05-2.8

Current through November 7, 2024

Section 230-RICR-50-05-2.8 - 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-50-05-2.8

Amended effective 11/4/2024