Subtitle 4—Requirements of Broker–Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
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MD Corp & Assns T. 11, Subt. 4, Refs & Annos
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§ 11–401. Registration Requirement
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§ 11–402. Registration of Representative
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§ 11–403. Term of Registration
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§ 11–404. Expiration of Agent Registration
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§ 11–405. Application
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§ 11–406. Registration Renewal
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§ 11–407. Fees
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§ 11–408. Application of Successor
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§ 11–409. Required Net Capital
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§ 11–410. Posting of Security
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§ 11–411. Post-Registration
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§ 11–412. Grounds for Revocation
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§ 11–413. Postponement and Suspension
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§ 11–414. Cancellation
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§ 11–415. Withdrawal
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§ 11–416. Conditions Precedent to Order
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§ 11–417. Fines
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§ 11–418. Repealed by Acts 2017, C. 837, § 1, eff. Oct. 1, 2017; Acts 2017, C. 838, § 1, eff. Oct. 1, 2017