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Rhode Island
• The following additional subjects will also be
considered within the field of regulatory
ethics: public interest and responsibilities,
licenses and renewals, SEC oversight,
competence – discreditable act, advertising
and other form of solicitation, independence,
integrity and objectivity, confidential client
information, contingent fees, commissions
and other considerations, conflict of interest,
discreditable acts, full disclosure, malpractice
and record retention.