Sec. 02.02.09.11. Registration of Agents

Latest version.

A person engaged in sales activity relating to the offer or sale of federal covered securities under this chapter shall:

A. Register as a broker-dealer agent under Corporations and Associations Article, §11-401, Annotated Code of Maryland, and COMAR 02.02.02.04;

B. Register as an issuer agent under Corporations and Associations Article, §11-401, Annotated Code of Maryland, and COMAR 02.02.03.11; or

C. Qualify for an exclusion under Corporations and Associations Article, §11-101, Annotated Code of Maryland, or an exemption under another provision.

                    
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