Chapter 02.02.05 - Investment Adviser Regulations
- Section 02.02.05.01 - Definitions
- Section 02.02.05.02 - Indirect Consideration
- Section 02.02.05.03 - Dishonest or Unethical Practices
- Section 02.02.05.04 - Custody of Client Funds or Securities
- Section 02.02.05.05 - Information to be Furnished to Clients ("Brochure Rule")
- Section 02.02.05.06 - Agency Cross Transactions
- Section 02.02.05.07 - Exemption from the Maryland Securities Act, Corporations and Associations Article, Section11-302(a)(4), for Certain Broker-Dealers
- Section 02.02.05.08 - Exemption from the Maryland Securities Act, Corporations and Associations Article, Section11-302(e)(1)(i) for Performance-Based Compensation
- Section 02.02.05.09 - Transactions Considered Not to be Assignments
- Section 02.02.05.10 - Electronic Filing with Designated Entity
- Section 02.02.05.11 - Applications for Investment Advisers and Notice Filings for Federal Covered Advisers
- Section 02.02.05.12 - Initial and Renewal Registration as Investment Adviser Representative
- Section 02.02.05.13 - Investment Adviser Supervision
- Section 02.02.05.14 - Examination Requirements for Investment Advisers and Investment Adviser Representatives
- Section 02.02.05.15 - Financial Requirements for Certain Investment Advisers
- Section 02.02.05.16 - Record-Keeping Requirements for Investment Advisers
- Section 02.02.05.17 - Financial Reporting Requirements for Certain Investment Advisers
- Section 02.02.05.18 - Correction of Documents Filed by Investment Advisers and Investment Adviser Representatives
- Section 02.02.05.19 - Withdrawal of Investment Adviser and Investment Adviser Representative Registrations
- Section 02.02.05.20 - Exemption from the Maryland Securities Act, Corporations and Associations Article, Section11-101(i)(2), Annotated Code of Maryland, for Certain Individuals
- Section 02.02.05.21 - Exemption from the Maryland Securities Act, Corporations and Associations Article, Section11-101(h)(2)(iii)3, Annotated Code of Maryland, for Certain Individuals
- Section 02.02.05.22 - Cancellation of Investment Adviser and Investment Adviser Representative Applications