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Rules & Regulations: Securities Division

Securities Division


The State of Rhode Island is in the process of transitioning regulations to an administrative code system. The Department of Business Regulations has been assigned Title 230 and the Securities Division has been assigned chapter 50. All regulations as displayed below must be reformatted and changed to the citation format 230-RICR-50-xx-xx. As regulations are reformatted, the Department will update the following chart with hyperlinks to the reformatted regulations. Any questions concerning the process or the status of a regulatoion should be sent to DBR.SecInquiry@dbr.ri.gov.


Chapter Sub-Chapter Part Former Name New Citation
50 - Securities, Franchises and Charities 05 - Securities 1 - Pre-Licensing Requirements Securities Division Regulations - The content of the old regulation has been repealed and reorganized into the three new parts listed in the next column. 230-RICR-50-05-1
Effective: August 22, 2018
2 - Post-Licensing Requirements 230-RICR-50-05-2
Effective: August 22, 2018
3 - Issuance and Registration of Securities 230-RICR-50-05-3
Effective: August 22, 2018
10 - Franchises1 - Franchise Regulation Franchise Regulation230-RICR-50-10-1