§ 7-11-404 - Filing of sales and advertising literature. - Rhode Island Statutes

SECTION 7-11-404

   § 7-11-404  Filing of sales and advertisingliterature. – The director may require by rule or order the filing of a prospectus, pamphlet,circular, form letter, advertisement, or other sales literature or advertisingcommunication addressed or intended for distribution to prospective investors,including clients or prospective clients of an investment adviser or federalcovered adviser, unless the security or transaction is exempt under §7-11-401 or 7-11-402 or is a federal covered security.