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2017 Maryland Code
Corporations and Associations
Title 11 - Maryland Securities Act
Subtitle 3 - Fraudulent and Other Prohibited Practices
§ 11-306. Dishonest or unethical practices by broker-dealer or agent prohibited.
Universal Citation: MD Corp & Assn Code § 11-306 (2017)
A person who engages in the business of effecting transactions in securities for the account of others or for the person's own account or who acts as a broker-dealer or agent may not engage in dishonest or unethical practices in the securities or investment advisory business.
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