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2021 Maryland Statutes
Corporations and Associations
Title 11 - Maryland Securities Act
Subtitle 3 - Fraudulent and Other Prohibited Practices
Section 11-306 - Dishonest or Unethical Practices by Broker-Dealer or Agent Prohibited
Universal Citation:
MD. Corporations and Associations Code Ann. § 11-306 (2021)
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This media-neutral citation is based
on the American Association of Law Libraries Universal Citation Guide and is not
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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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