A person who engages in the business of effecting transactions in securities for the account of others or for the person’s own account or who acts as a broker–dealer or agent may not engage in dishonest or unethical practices in the securities or investment advisory business.
Structure Maryland Statutes
Title 11 - Maryland Securities Act
Subtitle 3 - Fraudulent and Other Prohibited Practices
Section 11-301 - Offers, Sales, or Purchases
Section 11-302 - Advisory Activities
Section 11-303 - Misleading Filings
Section 11-304 - Unlawful Representations Concerning Registration, Notice Filing, or Exemption
Section 11-305 - Senior Investment Protection
Section 11-306 - Dishonest or Unethical Practices by Broker-Dealer or Agent Prohibited