GroundRules
R.I. Gen. Laws § 7-11-215: Custody of clients’ securities and funds.
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
Unless prohibited by rule or order of the director, an investment adviser registered under this chapter may take or retain custody of securities or funds of a client.
Collected 2026-09-05T19:19:04Z. Source file · JSON