Rhode Island

  • Rhode Island is a merit jurisdiction.
  • Rhode Island accepts the Uniform Application to Register Securities (Form U1), or the Small Company Offering Registration Form (U7), and allows for electronic signature of forms.
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process
    • SEC Form 1-A with exhibits
  • Rhode Island collects a variable fee. The filing fee is one-tenth of one percent of the offering amount not to exceed $1,000.00 not less than $300.00.
  • Fees should be made payable to the “General Treasurer State of Rhode Island.” Payments should be sent to the following address:
Mailing Address:  Courier Address:
Securities Division
Department Of Business Regulation
State Of Rhode Island
John O. Pastore Complex
Building 69-1
1511 Pontiac Avenue
Cranston, RI 02920
Securities Division
Department Of Business Regulation
State Of Rhode Island
John O. Pastore Complex
Building 69-1
1511 Pontiac Avenue
Cranston, RI 02920

 

Print Friendly, PDF & Email