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MARYLAND STATUTES AND CODES

Section 11-414 - Cancellation of registration or application; abandonment of notice filing.

§ 11-414. Cancellation of registration or application; abandonment of notice filing.
 

(a)  Cancellation of registration or application.- By order, the Commissioner may cancel a registration or application, if the Commissioner finds that the applicant or registrant: 

(1) Has abandoned the application; 

(2) Is no longer in existence; 

(3) Has ceased to do business as a broker-dealer, agent, investment adviser, or investment adviser representative; 

(4) Is subject to an adjudication of mental incompetence or the control of a committee, conservator, or guardian; or 

(5) Cannot be located after reasonable search. 

(b)  Abandonment of notice filing.- The Commissioner may deem abandoned a notice filing that a federal covered adviser has filed under § 11-405 of this subtitle, if the Commissioner finds that the federal covered adviser: 

(1) Has abandoned the notice filing; 

(2) Is no longer in existence; 

(3) Has ceased to do business as a federal covered adviser; 

(4) Is subject to adjudication of mental incompetence or to the control of a committee, conservator, or guardian; or 

(5) Cannot be located after a reasonable search. 
 

[An. Code 1957, art. 32A, § 18; 1975, ch. 311, § 2; 1989, ch. 805, § 2; 1992, ch. 619; 1997, ch. 613, § 2.] 
 

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