Maryland Statutes
Subtitle 4 - Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
Section 11-416 - Prerequisites to Order

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.

Structure Maryland Statutes