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2017 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
§ 11-406. Renewal registration
Universal Citation: MD Corp & Assn Code § 11-406 (2017)
- (a) For broker-dealer or investment adviser. -- 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) For agents of broker-dealer or issuer. -- 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) For representative of federal covered adviser or investment adviser. -- A federal covered adviser who has filed a notice under ยง 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) Effective date of renewal. -- 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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