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Division of Banking & Securities Regulation
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Securities Division Forms
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Forms:
Department Complaint Form
Broker Dealer Questionnaire and Affidavit: Prior Sales
Application for Fundraising Counsel
Application for Professional Fundraiser
Application for Professional Solicitor
Bond of Professional Solicitor or Professional Fund Raising Counsel to the General Treasurer of the State of Rhode Island
Application for Charitable Organizations
Rhode Island Franchise Registration Application
Application for Exemption from Registration Requirements as a Franchisor
Application for Time-Share Registration
Instructions for Filing Applications Investment Adviser/Investment Adviser Representative Non-Federal Covered Advisers
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