Click the link below for Tips on Charitable Holiday Giving:

http://www.dbr.ri.gov/documents/Charity_Tips.pdf

The Department's eLicensing System is now accepting electronic checks.  For a list of available license types to apply for or renew, please visit https://elicensing.ri.gov

Consumer Alert 2014-5 - HURRICANE PREPARATION

The Department has issused Consumer Alert 2014-5 - HURRICANE PREPARATION.  This Consumer Alert can be accessed by the link above or on DBR's website.

Consumer Alert 2014-1 – Winter Weather

The Department has issued Consumer Alert 2014-1 – Winter Weather.  This Consumer Alert can be accessed by this link or on the Department's website.

Securities Industry Alert 2013-1 has been Rescinded!

RESCINDED December 9, 2013: As a result of inquiries the Department has received, the Department is rescinding this Alert until further notice in order to work with the industry on issues that have come to the Department's attention subsequent to the issuance of this Alert.

Securities Industry Alert - Initial and Renewal Mutual Fund Notice Filing Must be Submitted Electronically!

Effective January 1, 2014, the Department of Business Regulation will require all Mutual Fund Notice Filings be submitted electronically. To view Securities Industry Alert 2013-1, click here