---
title: "Rhode Island Blue Sky Laws: Registration & Exemptions"
description: "Rhode Island blue sky laws under the RI Uniform Securities Act are enforced by the Department of Business Regulation. Learn registration, exemptions, and compliance."
canonical: "https://acquisitionstars.com/blue-sky-laws/rhode-island"
firm: "Acquisition Stars"
practice: "M&A and securities law"
office: "Novi, Michigan (serves clients nationwide)"
contact: "consult@acquisitionstars.com | 248-266-2790"
---

# Rhode Island Blue Sky Laws

RI

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.

[Request Engagement Assessment](https://acquisitionstars.com/consultation) Regulatory Overview

**Selective M&A Practice**

**Coordinates With Securities Counsel**

Senior Counsel on Every Deal

![Donald Hateley, Of Counsel for securities law at Acquisition Stars](https://acquisitionstars.com/images/donald-hateley-headshot.webp)

## Donald Hateley

Of Counsel, Securities Law | Acquisition Stars

Donald Hateley serves as Of Counsel to Acquisition Stars for securities law matters. His background includes advising public and private companies on securities transactions, corporate finance, and corporate governance, including public and private equity and debt financings. Admitted to the California bar in 1993, he is a graduate of the University of Southern California Marshall School of Business and Southwestern Law School.

[Request Engagement Assessment](https://acquisitionstars.com/consultation)

## Rhode Island Securities Regulatory Overview

Regulatory Body Rhode Island Department of Business Regulation, Securities Division

Primary Statute Rhode Island Uniform Securities Act (R.I. Gen. Laws 7-11-101 et seq.)

### Registration Requirements

Rhode Island allows registration by coordination, qualification, or notice filing. Reg D Rule 506 offerings require Form D notice filing. Filing fee is $300.

## Key Provisions of Rhode Island Securities Law

Understanding the core regulatory framework in Rhode Island:

1

Securities must be registered before offer or sale unless exempt

2

Rhode Island adopted the Uniform Securities Act

3

Anti-fraud provisions apply to all securities transactions

4

The Securities Division has investigative and enforcement authority

## Available Exemptions in Rhode Island

Rhode Island provides the following exemptions from full securities registration:

- Federal covered securities with notice filing
- Isolated nonissuer transactions
- Sales to institutional investors
- Limited offering exemptions
- Government securities

## Penalties for Non-Compliance in Rhode Island

Rhode Island imposes civil penalties, criminal penalties including fines and imprisonment, investor rescission rights, and administrative sanctions.

## How Rhode Island Blue Sky Laws Affect Your Transaction

Transactions involving Rhode Island-based shareholders require compliance when stock is part of the consideration. Acquisition Stars works with securities counsel on Rhode Island filings for multi-state deals.

### Need Help With a Rhode Island Securities Transaction?

Acquisition Stars handles M&A transactions nationwide and works with securities counsel on blue sky compliance and securities offerings. Senior attorney Alex Lubyansky provides direct counsel on every M&A engagement. We tell you who would handle your matter before any introduction, and you decide whether to proceed.

[Request Engagement Assessment](https://acquisitionstars.com/consultation) [Call (248) 266-2790](tel:+1-248-266-2790)

### Need Help With a Rhode Island Securities Transaction?

Submit your transaction details for a preliminary assessment. We help with the M&A side of the transaction and work with securities counsel on multi-state filings for Reg D, Reg A+, and Reg CF offerings involving Rhode Island.

## Frequently Asked Questions

Common questions about Rhode Island blue sky laws and securities compliance

**What is Rhode Island's Reg D filing fee?**

Rhode Island charges $300 for Reg D Rule 506 notice filings.

**Who regulates securities in Rhode Island?**

The Securities Division of the Department of Business Regulation enforces Rhode Island's securities laws.

**Does Rhode Island follow the Uniform Securities Act?**

Yes. Rhode Island adopted the Uniform Securities Act.

## Blue Sky Laws in Nearby States

[Massachusetts Blue Sky Laws MA](https://acquisitionstars.com/blue-sky-laws/massachusetts)

[Connecticut Blue Sky Laws CT](https://acquisitionstars.com/blue-sky-laws/connecticut)

[New York Blue Sky Laws NY](https://acquisitionstars.com/blue-sky-laws/new-york)

[View all 50 state blue sky law guides →](https://acquisitionstars.com/blue-sky-laws)

## Related M&A Resources

[Buying a Business Industry-specific buyer guides](https://acquisitionstars.com/buying-a-business)

[Selling a Business Industry-specific seller guides](https://acquisitionstars.com/selling-a-business)

[M&A Comparisons Deal structure decision guides](https://acquisitionstars.com/compare)

[M&A Legal Services Full transaction counsel](https://acquisitionstars.com/services/mergers-acquisitions)

## Need Help With Securities Compliance in Rhode Island?

Our managing partner provides selective M&A counsel and works with securities counsel on transactions involving Rhode Island blue sky law compliance. Submit your transaction details for a preliminary assessment.

[Request Engagement Assessment](https://acquisitionstars.com/consultation)

Selective M&A practice - Nationwide reach - Senior counsel on every deal

---

Source: https://acquisitionstars.com/blue-sky-laws/rhode-island

Markdown version generated for machine readers. Canonical HTML at the source URL.