Md. Code Regs. 36.03.02.02

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

Section 36.03.02.02 - Personal and Background Information

A. Except as otherwise provided by this regulation, the application documents shall include the information under §B of this regulation, for an individual who is:

(1) The applicant;

(2) A director, officer, or key management individual employed by the applicant;

(3) A partner of the applicant;

(4) An owner of an interest of 5 percent or more in the applicant; or

(5) A principal.

B. An individual listed under §A of this regulation shall furnish the following:

(1) Full name and any previous names or aliases;

(2) Date of birth;

(3) Physical description;

(4) Home and business addresses and telephone numbers;

(5) Driver's license number and state of issuance;

(6) Social Security number;

(7) Passport or identification photo;

(8) Fingerprints for a criminal records check:

(a) For a State resident, from an electronic fingerprinting service approved by the Commission; or

(b) For an out-of-State resident, one FBI and one State fingerprint card, taken within the previous 45 days before submission to the Commission; and

(9) Any other document or information required by the Commission.

C. If the applicant is a corporation, the application documents shall state the:

(1) State in which the applicant is incorporated; and

(2) Name and address of the applicant's agent for service of process in Maryland.

D. If an applicant is a nonprofit corporation, only an individual who is a director or officer of the applicant shall provide the information required under §B of this regulation.

E. A licensee who has notified the Commission of an intended change in employment status shall provide the information as set forth in §B of this regulation.

F. The Commission may require an applicant to furnish the information listed in §B of this regulation with regard to the applicant's family and associates.

G. Inadvertent, nonsubstantive errors that might be made in furnishing the information required by this regulation may not be used as a reason by the Commission for disqualifying the applicant.

Md. Code Regs. 36.03.02.02

Regulations .02 adopted as an emergency provision effective March 1, 2013 (40:6 Md. R. 470); emergency action expired effective July 20, 2013
Regulations .02 adopted effective August 19, 2013 (40:16 Md. R. 1347)
Regulation .02B amended as an emergency provision effective July 1, 2015 (42:15 Md. R. 1014)
Regulation .02 amended effective 42:18 Md. R. 1180, eff.9/14/2015; amended effective 47:21 Md. R. 905, eff. 10/19/2020