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U.S. State Codes
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Maryland
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Corporations and Associations
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Title 11 - Maryland Securit...
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Subtitle 4 - Requirements of Broker-Dealers, Ag...
Subtitle 4 - Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
§ 11-401. Transaction of business by unregistered person unlawful
§ 11-402. Agent required to be registered
§ 11-403. Expiration
§ 11-404. Agent or representative terminating connection with broker-dealer, issuer, or investment representative; beginning connection with another principal
§ 11-405. Application; effective date of registration
§ 11-406. Renewal registration
§ 11-407. Filing fee
§ 11-408. Successors
§ 11-409. Capital and financial requirements
§ 11-410. Surety
§ 11-411. Post-registration provisions
§ 11-412. Denial, revocation, or suspension of registration
§ 11-413. Summary postponement or suspension
§ 11-414. Cancellation of registration or application; abandonment of notice filing
§ 11-415. Withdrawal from registration
§ 11-416. Prerequisites to order
§ 11-417. Fine for violation of title