Md. Code Regs. 02.02.09.11

Current through Register Vol. 51, No. 24, December 2, 2024

Section 02.02.09.11 - Registration of Agents

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 02.02.02.04G ;

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

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

Md. Code Regs. 02.02.09.11