State Government Agencies/Departments | Rhode Island Department of Business Regulation-Securities Regulations
1511 Pontiac Avenue, Cranston, RI 02920
Voice - Securities Regulation Division
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Statewide
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.
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Rhode Island Department of Business Regulation
The Department of Business Regulation is an organization of dedicated professionals responsible for regulating and licensing a broad array of Rhode Island businesses in order to protect the public.