Rhode Island Department of Business Regulation-Securities Regulations
Address
1511 Pontiac Avenue
Cranston, RI 02920
(401) 462-9645
Description:
Securities Regulation is responsible for the registration of certain securities, the licensing and regulation of broker dealers, sales representatives, certain investment advisers and certain investment adviser representatives.
The division is also responsible for enforcing compliance with the state's Franchise Investment Act, the registration of charitable and fund-raising groups and the states' Real Estate Time-Share Act. The division has annually processed approximately 60,584 licenses and 7,412 registrations, conducted on-site examinations of broker-dealers and investment advisers, and initiated investigations and enforcement actions pursuant to applicable state and federal laws and regulations.
Services
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Description
Securities Regulation is responsible for the registration of certain securities, the licensing and regulation of broker dealers, sales representatives, certain investment advisers and certain investment adviser representatives. The division is also responsible for enforcing compliance with the state's Franchise Investment Act, the registration of charitable and fund-raising groups and the states' Real Estate Time-Share Act. The division has annually processed approximately 60,584 licenses and 7,412 registrations, conducted on-site examinations of broker-dealers and investment advisers, and initiated investigations and enforcement actions pursuant to applicable state and federal laws and regulations. Program Objectives Enforce compliance with the applicable provisions of state laws and regulations related to the securities industry, franchises, charities, fund-raisers and time-shares.
Hours
Mon-Fri 8:30AM-4:00PM
Required Documents
Varies
Eligibility
Securities Industry, Franchises, Charities, Fund-Raisers and Time-Shares
Fees
Varies
Intake Procedure
Call for Information
Service Area
Statewide
Geography Served
- Rhode Island
If a location is grayed out it means that only certain areas within it are covered. The areas with complete covereage are listed in black.
Contact
Telephone Numbers
General Information
Hours:
Monday - Friday, 8:30AM - 4:00PM
Intake Process:
Call for Information
Program Fees:
Varies
Eligibility:
Securities Industry, Franchises, Charities, Fund-Raisers and Time-Shares
Is Shelter?
No
Miscellaneous
Related Resource
Date of Official Change:
February 14, 2020
Legal Status:
Governmental
Services
Click here to show all service details. Or click on a service name to see its details specifically.
Description
Securities Regulation is responsible for the registration of certain securities, the licensing and regulation of broker dealers, sales representatives, certain investment advisers and certain investment adviser representatives. The division is also responsible for enforcing compliance with the state's Franchise Investment Act, the registration of charitable and fund-raising groups and the states' Real Estate Time-Share Act. The division has annually processed approximately 60,584 licenses and 7,412 registrations, conducted on-site examinations of broker-dealers and investment advisers, and initiated investigations and enforcement actions pursuant to applicable state and federal laws and regulations. Program Objectives Enforce compliance with the applicable provisions of state laws and regulations related to the securities industry, franchises, charities, fund-raisers and time-shares.
Hours
Mon-Fri 8:30AM-4:00PM
Required Documents
Varies
Eligibility
Securities Industry, Franchises, Charities, Fund-Raisers and Time-Shares
Fees
Varies
Intake Procedure
Call for Information
Service Area
Statewide
Geography Served
- Rhode Island
If a location is grayed out it means that only certain areas within it are covered. The areas with complete covereage are listed in black.
Contact
Telephone Numbers
Geographies Served
Serves All Areas
Address Listings
Physical (Primary)
1511 Pontiac Avenue
Cranston, RI 02920
Mailing
RI Department of Business Regulation
1511 Pontiac Avenue
Cranston, RI 02920
Contacts
Elizabeth Kelleher Dwyer
Primary Contact
Deputy Director & Superintendent of Financial Services
(401) 462-9617
Phone Numbers
Securities Regulation Division
(401) 462-9645
Fax
(402) 462-9532
Main Phone
(401) 462-9500
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