 |
Code of Maryland Regulations (Last Updated: April 6, 2021) |
 |
Title 02. Office of the Attorney General |
|
|
Subtitle 02. DIVISION OF SECURITIES |
|
|
Chapter 02.02.02. Broker-Dealer Regulations |
| Sec. 02.02.02.00. Notations |
| Sec. 02.02.02.01. Initial Registration as Broker-Dealer |
| Sec. 02.02.02.02. Renewal Registration as Broker-Dealer |
| Sec. 02.02.02.03. Mandatory Registration of an Agent |
| Sec. 02.02.02.04. Initial Registration as Agent |
| Sec. 02.02.02.05. Renewal Registration as Agent |
| Sec. 02.02.02.06. Examination Requirement for Broker-Dealers and Agents |
| Sec. 02.02.02.07. Amendment of Documents Filed by Broker-Dealers and Agents |
| Sec. 02.02.02.08. Financial Requirements for Broker-Dealers |
| Sec. 02.02.02.09. Financial Reporting Requirements for Broker-Dealers |
| Sec. 02.02.02.10. Book and Record-Keeping Requirements for Broker-Dealers |
| Sec. 02.02.02.9999. Administrative History |