There is a newer version of the Maryland Code
2016 Maryland Code
Corporations and Associations
Title 11 - Maryland Securities Act
Subtitle 4 - Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
- § 11-401. Transaction of business by unregistered person unlawful
- § 11-402. Agent required to be registered
- § 11-403. Expiration
- § 11-404. Agent or representative terminating connection with broker-dealer, issuer, or investment representative; beginning connection with another principal
- § 11-405. Application; effective date of registration
- § 11-406. Renewal registration
- § 11-407. Filing fee
- § 11-408. Successors
- § 11-409. Capital and financial requirements
- § 11-410. Surety
- § 11-411. Post-registration provisions
- § 11-412. Denial, revocation, or suspension of registration
- § 11-413. Summary postponement or suspension
- § 11-414. Cancellation of registration or application; abandonment of notice filing
- § 11-415. Withdrawal from registration
- § 11-416. Prerequisites to order
- § 11-417. Fine for violation of title
- § 11-418. Lists of registered broker-dealers and investment advisers
Disclaimer: These codes may not be the most recent version. Maryland may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
