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2021 Maryland Statutes
Corporations and Associations
Title 11 - Maryland Securities Act
Subtitle 4 - Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
- Section 11-401 - Transaction of Business by Unregistered Person Unlawful
- Section 11-402 - Agent Required to Be Registered
- Section 11-403 - Expiration
- Section 11-404 - Agent or Representative Terminating Connection With Broker-Dealer, Issuer, or Investment Representative; Beginning Connection With Another Principal
- Section 11-405 - Application; Effective Date of Registration
- Section 11-406 - Renewal Registration
- Section 11-407 - Filing Fee
- Section 11-408 - Successors
- Section 11-409 - Capital and Financial Requirements
- Section 11-410 - Surety
- Section 11-411 - Post-Registration Provisions
- Section 11-412 - Denial, Revocation, or Suspension of Registration
- Section 11-413 - Summary Postponement or Suspension
- Section 11-414 - Cancellation of Registration or Application; Abandonment of Notice Filing
- Section 11-415 - Withdrawal From Registration
- Section 11-416 - Prerequisites to Order
- Section 11-417 - Fine for Violation of Title
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