Md. Code Regs. 02.02.02.07

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

Section 02.02.02.07 - Amendment of Documents Filed by Broker-Dealers and Agents

A. Time of Filing. An amendment to a broker-dealer or agent filing required by the Maryland Securities Act, Corporations and Associations Article, § 11-411(d), Annotated Code of Maryland, shall be filed within 30 days of the event that gave rise to the need to amend the filing.

B. Place of Filing.

(1) Broker-Dealers.

(a) FINRA Members. A broker-dealer that is a member of the FINRA shall file an amendment with the CRD.

(b) Non-FINRA Members. A broker-dealer that is not a member of the FINRA shall file an amendment with the Commissioner.

(2) Broker-Dealer Agents.

(a) FINRA Registered Representatives. A broker-dealer agent who is registered with the FINRA shall file an amendment with the CRD.

(b) Others. A broker-dealer agent who is not registered with the FINRA shall file an amendment with the Commissioner.

Md. Code Regs. 02.02.02.07

Regulations .07 adopted effective January 17, 1994 (21:1 Md. R. 26)