Md. Code Regs. tit. 02, subtit. 02, ch. 02.02.02 - Broker-Dealer Regulations

  1. § 02.02.02.01 - Initial Registration as Broker-Dealer
  2. § 02.02.02.02 - Renewal Registration as Broker-Dealer
  3. § 02.02.02.03 - Mandatory Registration of an Agent
  4. § 02.02.02.04 - Initial Registration as Agent
  5. § 02.02.02.05 - Renewal Registration as Agent
  6. § 02.02.02.06 - Examination Requirement for Broker-Dealers and Agents
  7. § 02.02.02.07 - Amendment of Documents Filed by Broker-Dealers and Agents
  8. § 02.02.02.08 - Financial Requirements for Broker-Dealers
  9. § 02.02.02.09 - Financial Reporting Requirements for Broker-Dealers
  10. § 02.02.02.10 - Book and Record-Keeping Requirements for Broker-Dealers

Notes

Md. Code Regs. tit. 02, subtit. 02, ch. 02.02.02
Effective date: June 1, 19652
Regulations .01_.06 and new Regulations .01_.10 adopted effective January 17, 1994 (21:1 Md. R. 26)
Regulation .01B, D amended effective June 15, 1998 (25:12 Md. R. 944)
Regulation .04B, D amended effective June 15, 1998 (25:12 Md. R. 944)
Regulation .08B, C amended effective June 15, 1998 (25:12 Md. R. 944)

Authority: Corporations and Associations Article, § 11-203, Annotated Code of Maryland

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