GroundRules
R.I. Gen. Laws § 7-11-207: Examinations.
Where this section sits in the code
- Title 7 Corporations, Associations, and Partnerships
- Chapter 11 Rhode Island Uniform Securities Act
- Part II Licensing of Broker-Dealers, Sales Representatives, and Investment Advisers and Investment Adviser Representatives
(a) The director may by rule or order impose an examination requirement upon an applicant or class of applicants for licensing under this chapter.
(b) An examination may be administered by the director or a designee of the director. An examination may be oral or written or both and may differ for each class of applicants.
(c) The director may by rule or order waive an examination requirement imposed under subsection (a) as to a person or class of persons if the director determines that the examination is not necessary for the protection of investors.
Collected 2026-09-05T19:18:24Z. Source file · JSON