- 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 |
- For additional information, please visit the regulator’s website at http://www.dbr.state.ri.us/divisions/securities/securities.php or contact them at (401) 462-9586 or (401) 462-9580.
