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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 |
§ 11-418. Lists of registered broker-dealers and investment advisers
Latest version.
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(a) List provided annually. -- By August 31 of each year, the Commissioner shall provide to the Department of Assessments and Taxation a list of broker-dealers and investment advisers registered as broker-dealers or investment advisers during the previous fiscal year, to assist the Department of Assessments and Taxation in identifying new businesses within the State.
(b) Contents. -- The list provided under this section shall:
(1) Be provided free of charge; and
(2) Include, for each person on the list:
(i) The name and mailing address of the person; and
(ii) The federal tax identification number of the person or, if the person does not have a federal tax identification number, the Social Security number of the person.