Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers

  1. Law
  2. Maryland Code
  3. Corporations and Associations
  4. Maryland Securities Act
  5. Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers

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Section
11-401

Transaction of business by unregistered person unlawful

Section
11-402

Agent required to be registered

Section
11-403

Expiration

Section
11-404

Agent or representative terminating connection with broker-dealer, issuer, or investment representative; beginning connection with another principal

Section
11-405

Application; effective date of registration

Section
11-406

Renewal registration

Section
11-407

Filing fee

Section
11-408

Successors

Section
11-409

Capital and financial requirements

Section
11-410

Surety

Section
11-411

Post-registration provisions

Section
11-412

Denial, revocation, or suspension of registration

Section
11-413

Summary postponement or suspension

Section
11-414

Cancellation of registration or application; abandonment of notice filing

Section
11-415

Withdrawal from registration

Section
11-416

Prerequisites to order

Section
11-417

Fine for violation of title