STATE STATUTES & CODES
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MARYLAND STATUTES AND CODES
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.
- Section 11-418 - Lists of registered broker-dealers and investment advisers.
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