2013 Maryland Code
CORPORATIONS AND ASSOCIATIONS
§ 11-406 - Renewal registration


MD Corp & Assn Code § 11-406 (2013) What's This?

§11-406.

(a) A broker-dealer or investment adviser may obtain a renewal registration by filing with the Commissioner or any entity the Commissioner designates by rule or order an application containing whatever information the Commissioner by rule requires to keep current the information contained in the application for initial registration.

(b) A broker-dealer or issuer may obtain a renewal registration for the agents associated with it by filing with the Commissioner or any entity the Commissioner designates by rule or order an application containing the names of the agents associated with it and a certification that, to the best knowledge, information, and belief of the broker-dealer or issuer:

(1) There has been no change in the information contained in the agents’ applications for the registration then currently in effect; or

(2) If there has been any such change, specifying the change.

(c) A federal covered adviser who has filed a notice under § 11-405(b) of this subtitle or an investment adviser may obtain a renewal registration for the investment adviser representatives associated with it by filing with the Commissioner or any entity the Commissioner designates by rule or order an application containing the names of the representatives associated with it and a certification that, to the best knowledge, information, and belief of the federal covered adviser or the investment adviser:

(1) There has been no change in the information contained in the investment adviser representatives’ applications for the registration currently in effect; or

(2) If there has been any such change, specifying the change.

(d) An application for renewal registration is effective on receipt by the Commissioner of the proper application and fee or on the expiration of the previous registration, whichever date is later.

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