TITLE 11 - MARYLAND SECURITIES ACT
- Subtitle 1 - Definitions; General Provisions
- Subtitle 2 - Division of Securities
- Section 11-201 - Administration of title.
- Section 11-202 - [Repealed].
- Section 11-203 - Rules, forms, and orders.
- Section 11-204 - Hearings to be public.
- Section 11-205 - Filing of sales and advertising literature.
- Section 11-206 - Administrative files and opinions.
- Section 11-207 - Use or disclosure of information.
- Subtitle 3 - Fraudulent and Other Prohibited Practices
- Subtitle 4 - Requirements of Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
- Section 11-401 - Transaction of business by unregistered person unlawful.
- Section 11-402 - Agent required to be registered.
- Section 11-403 - Expiration.
- Section 11-404 - Agent or representative terminating connection with broker-dealer, issuer, or investment representative; beginning connection with another principal.
- Section 11-405 - Application; effective date of registration.
- Section 11-406 - Renewal registration.
- Section 11-407 - Filing fee.
- Section 11-408 - Successors.
- Section 11-409 - Capital and financial requirements.
- Section 11-410 - Surety.
- Section 11-411 - Post-registration provisions.
- Section 11-412 - Denial, revocation, or suspension of registration.
- Section 11-413 - Summary postponement or suspension.
- Section 11-414 - Cancellation of registration or application; abandonment of notice filing.
- Section 11-415 - Withdrawal from registration.
- Section 11-416 - Prerequisites to order.
- Section 11-417 - Fine for violation of title.
- Section 11-418 - Lists of registered broker-dealers and investment advisers.
- Subtitle 5 - Registration of Securities
- Section 11-501 - Registration requirement.
- Section 11-502 - Registration by notification.
- Section 11-503 - Registration by coordination.
- Section 11-503.1 - Filing of documents and fees required; stop orders.
- Section 11-504 - Registration by qualification.
- Section 11-505 - Filing of registration statement.
- Section 11-506 - Filing fee.
- Section 11-507 - Matters required to be specified in registration statement.
- Section 11-508 - Effective period of registration statement; withdrawal of registration statement; abandonment of registration statement.
- Section 11-509 - Reports by person filing registration statement.
- Section 11-510 - Amendment of registration statement to increase securities proposed to be offered.
- Section 11-510.1 - Registration of indefinite amount of securities.
- Section 11-511 - Denial, suspension, and revocation of registration.
- Section 11-512 - Summary postponement or suspension.
- Section 11-513 - Prerequisites to stop order.
- Section 11-514 - Vacation or modification of stop order.
- Subtitle 6 - Exemptions
- Subtitle 7 - Enforcement and Penalties
- Subtitle 8 - Miscellaneous Provisions
- Subtitle 9 - Corporate Take-Over Offers