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Unannotated Code of Maryland (Last Updated: May 16, 2014) |
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CORPORATIONS AND ASSOCIATIONS |
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TITLE 11. MARYLAND SECURITIES ACT |
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SUBTITLE 4. REQUIREMENTS OF BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED ADVISERS |
§ 11-416. Prerequisites to order
Latest version.
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An order may not be entered under any part of § 11-412 through 11-415 of this subtitle, except § 11-413(a), without:
(1) Appropriate prior notice to the applicant or registrant, or person submitting a notice filing, as well as the employer or prospective employer if the applicant or registrant is an agent or investment adviser representative;
(2) Opportunity for hearing; and
(3) Written findings of fact and conclusions of law.