 |
Unannotated Code of Maryland (Last Updated: May 16, 2014) |
 |
CORPORATIONS AND ASSOCIATIONS |
|
|
TITLE 11. MARYLAND SECURITIES ACT |
|
|
SUBTITLE 4. REQUIREMENTS OF BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED ADVISERS |
SUBTITLE 4. REQUIREMENTS OF BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED ADVISERS
| § 11-401. Transaction of business by unregistered person unlawful |
| § 11-402. Agent required to be registered |
| § 11-403. Expiration |
| § 11-404. Agent or representative terminating connection with broker-dealer, issuer, or investment representative; beginning connection with another principal |
| § 11-405. Application; effective date of registration |
| § 11-406. Renewal registration |
| § 11-407. Filing fee |
| § 11-408. Successors |
| § 11-409. Capital and financial requirements |
| § 11-410. Surety |
| § 11-411. Post-registration provisions |
| § 11-412. Denial, revocation, or suspension of registration |
| § 11-413. Summary postponement or suspension |
| § 11-414. Cancellation of registration or application; abandonment of notice filing |
| § 11-415. Withdrawal from registration |
| § 11-416. Prerequisites to order |
| § 11-417. Fine for violation of title |
| § 11-418. Lists of registered broker-dealers and investment advisers |