Maryland Statutes
Title 11 - Maryland Securities Act
Subtitle 4 - Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers

Section 11-401 - Transaction of Business by Unregistered Person Unlawful - (a) Except as provided in subsection (d) of this section,...

Section 11-402 - Agent Required to Be Registered - (a) (1) Except as provided in paragraph (3) of this...

Section 11-403 - Expiration - Unless sooner terminated under other provisions of this title, the...

Section 11-404 - Agent or Representative Terminating Connection With Broker-Dealer, Issuer, or Investment Representative; Beginning Connection With Another Principal - (a) (1) The registration of an agent expires when the...

Section 11-405 - Application; Effective Date of Registration - (a) A broker-dealer, agent, investment adviser, or investment adviser representative...

Section 11-406 - Renewal Registration - (a) A broker-dealer or investment adviser may obtain a renewal...

Section 11-407 - Filing Fee - (a) (1) An applicant for initial or renewal registration as...

Section 11-408 - Successors - (a) A registered broker-dealer or investment adviser may file an...

Section 11-409 - Capital and Financial Requirements - (a) The Commissioner may require by rule or order: (1)...

Section 11-410 - Surety - (a) (1) The Commissioner may require by rule or order...

Section 11-411 - Post-Registration Provisions - (a) (1) A registered broker-dealer shall make and keep correspondence,...

Section 11-412 - Denial, Revocation, or Suspension of Registration - (a) The Commissioner by order may deny, suspend, or revoke...

Section 11-413 - Summary Postponement or Suspension - (a) The Commissioner by order summarily may postpone or suspend...

Section 11-414 - Cancellation of Registration or Application; Abandonment of Notice Filing - (a) By order, the Commissioner may cancel a registration or...

Section 11-415 - Withdrawal From Registration - (a) Withdrawal from registration as a broker-dealer, agent, investment adviser,...

Section 11-416 - Prerequisites to Order - An order may not be entered under any part of...

Section 11-417 - Fine for Violation of Title - On notice and hearing as provided in § 11-416 of...