Rhode Island regulates securities under the Rhode Island Uniform Securities Act, enforced by the Securities Division of the Department of Business Regulation. Rhode Island adopted the Uniform Securities Act and requires registration or exemption for securities offered or sold in the state.
Rhode Island allows registration by coordination, qualification, or notice filing. Reg D Rule 506 offerings require Form D notice filing. Filing fee is $300.
Understanding the core regulatory framework in Rhode Island:
Securities must be registered before offer or sale unless exempt
Rhode Island adopted the Uniform Securities Act
Anti-fraud provisions apply to all securities transactions
The Securities Division has investigative and enforcement authority
Rhode Island provides the following exemptions from full securities registration:
Rhode Island imposes civil penalties, criminal penalties including fines and imprisonment, investor rescission rights, and administrative sanctions.
Transactions involving Rhode Island-based shareholders require compliance when stock is part of the consideration. Acquisition Stars handles Rhode Island filings for multi-state deals.
Acquisition Stars handles blue sky compliance, M&A transactions, and securities offerings nationwide. Managing partner Alex Lubyansky provides direct counsel on every engagement.
Common questions about Rhode Island blue sky laws and securities compliance
Our managing partner provides selective securities and M&A counsel for transactions involving Rhode Island blue sky law compliance. Submit your transaction details for a preliminary assessment.
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